Oasis Pro Markets, LLC – Form CRS

April 7, 2022

Oasis Pro Markets, LLC – Form CRS

Introduction

Oasis Pro Markets, LLC (“Oasis Pro Markets”) is registered with the Securities and Exchange Commission as both a broker-dealer and an alternative trading system (“ATS”) and is a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation.
Brokerage and investment advisory services fees differ, and it is important for you to understand the differences. Free and simple tools are available to research firms and financial professionals at https://www.investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

What investment services and advice can you provide me?

Description of Services

We offer brokerage services to retail investors on oasispromarkets.com. Oasis Pro Markets, a regulated ATS, allows its subscribers to trade digital ("blockchain") securities and make payment for those digital securities in digital cash (e.g., stablecoins such as USDC and DAI) or fiat currency.

1) Issuers can offer and sell registered and unregistered securities on the oasispromarkets.com primary offerings platform (“Marketplace”). These securities are being offered by specific issuers and it’s the responsibility of the issuer to provide all pertinent information about these securities offerings.

Please be aware that investing in private, unregistered securities is speculative and involves a high degree of risk. Private, unregistered securities are illiquid and could be subject to holding periods that may hinder your ability to sell such securities. In addition, the securities offered on our Marketplace may be represented or issued on a blockchain in digital form (“digital securities”), which may include additional risks. For example, you may be limited in your ability to sell any digital securities purchased on the Marketplace.

2). Our ATS, allows its subscribers to trade digital securities and make payment for those digital securities in digital cash (e.g., stablecoins such as USDC and DAI) or fiat currency. Oasis Pro Markets' ATS is authorized to allow its subscribers to:
    1. Trade both registered and unregistered securities on the ATS;
    2. Trade digital securities over-the-counter; and
    3. Trade both equity and debt digital securities.

Eligibility to buy and sell securities on Oasis Pro Markets’ ATS is determined by Oasis Pro Markets, LLC. Neither Oasis Pro Markets nor any of its affiliates, officers, directors, agents and employees make any warranty of any kind related to the adequacy or completeness of the information on our website.

We do not monitor your investments. We do not provide investment advice or recommendany securities on our platform. Oasis Pro Markets does not offer traditional retail brokerage services. Accordingly, we do not trade, open or hold investor accounts, securities or funds, nor do we monitor your investments. You make the ultimate decision about any purchase or sale of investments.

Conversation Starters. Ask your financial professional:

  • Given my financial situation, should I choose a brokerage service? Why or why not?
  • What is the difference between a traditional broker-dealer and your ATS?
  • What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

 

What fees will I pay?

Description of Fees and Costs

You may pay Oasis Pro Markets a fee every time you buy or sell an investment on its ATS. For secondary transactions on the ATS or where we are an agent, buyers and sellers may be charged up to 2% of the gross transaction price for each transaction. This fee, commonly referred to as a “commission” or “secondary market fee”, is based on the specific transaction and not the value of your account. We have an incentive to encourage you to trade more frequently on the ATS since the more you trade, the more fees we will earn.

Additional Information

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

Conversation Starter. Ask your financial professional:

  • Help me understand how these fees and costs might affect my investments.
  • If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

 

Conflicts of Interest

We do not make recommendations regarding securities or investment strategies. The way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the service(s) we provide you. Here are some examples to help you understand what this means:

  • We may receive compensation from an issuer of securities for placing or selling their securities and/or providing financial consulting services. Oasis Pro Markets or one of its affiliates may have other business relationships with an issuer (or its affiliates).
  • On Oasis Pro Markets’ ATS, we receive fees based on the frequency and size of trades, regardless of whether you make or lose money on your investments.

Conversation Starter. Ask your financial professional:

  • How might your conflicts of interest affect me?
  • How will you address any conflicts of interest?

 

How do your financial professionals make money?

Description of How Financial Professionals Make Money

The compensation to our financial professionals is comprised of salary and discretionary bonus. The bonus is based on the firm’s overall revenue, and it is also based on the financial professional’s job performance.

No. Please visit https://www.investor.gov/CRS for a free and simple search tool to research our firm and financial professionals.

Conversation Starter. Ask your financial professional:

  • As a financial professional, do you have any disciplinary history? For what type of conduct?

 

Additional information

For more information on Oasis Pro Markets, please visit: https://brokercheck.finra.org/ and https://www.oasispromarkets.com/. Please contact us at (203) 309-5009 for up-to-date information and to request a copy of the FORM CRS.

Questions to ask us:

  • Who is my primary contact person?
  • Is he or she a representative of the broker-dealer?
  • Who can I talk to if I have concerns about how this person is treating me?