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BS

Brandon E. Sotero

COINBASE CAPITAL MARKETS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 6891278
BS

Professional summary

Brandon Emil Sotero is a registered financial professional currently at COINBASE CAPITAL MARKETS CORP located in New York, New York.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 2018. Brandon has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon Emil Sotero's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 12, 2025 - Present

COINBASE CAPITAL MARKETS CORP

Office #1: One Madison Ave 24th Fl, New York, NY 10010
BD
CRD#: 10722
NEW YORK, NY
Past

March 30, 2023 - May 10, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

November 18, 2021 - October 21, 2024

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
Westlake, TX
Past

January 26, 2018 - December 31, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
Westlake, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/12/2025)
RR
Texas
(12/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/18/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
COINBASE CAPITAL MARKETS CORP
ADVANCED FINANCIAL PARTNERS | TAX SHELTERS SECURITIES CORPORATION | STEWART FINANCIAL SERVICES | RDD WEALTH MANAGEMENT | OPEN NETWORK FINANCIAL CONSULTING | KEYSTONE DIVERSIFIED SECURITIES | KEYSTONE CAPITAL CORPORATION | COINBASE CAPITAL MARKETS CORP | COINBASE CAPITAL MARKETS | AUOUR ADVISORY, LLC

CRD#: 10722 / SEC#: 801-78249, 8-28032

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Madison Ave Suite 230, San Diego, CA 92130
Mailing Address
One Madison Ave 24th Fl, New York, NY 10010
Phone number
(858) 348-4405
Established
California since 06/18/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

KEYSTONE CAPITAL CORPORATION ADV PART 2A (9/22/2015)

Direct owners and executive officers

NamePositionCRD#
COINBASE GLOBAL, INC.DIRECT OWNER
COMPA, GREGORYCHIEF COMPLIANCE OFFICER5324133
COOK, KATHERINE RENEEEXECUTIVE PRINCIPAL3076337
FELDSHTEYN, ARTHURPRINCIPAL OPERATIONS OFFICER4954700
MARTIN, ELIZABETH GREGORYCEO3267444
PLUMMER, CHRISTINE MARIEFINANCIAL OPERATIONS PRINCIPAL2903362

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COINBASE CAPITAL MARKETS CORP

CRD#: 10722New York, NY 10010

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