Full text of FIGURE SECURITIES, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | | |---------------------------|-----------|--| | OMB Number: | 3235-0123 | | | Expires: October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | | | ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | | SEC FILE NUMBER | |-------|-------|-----------------| | 2 - 1 | 70478 | | #### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | REPORT FOR THE PERIOD BEGINNING | 04/01/2021 | AND ENDING | 12/31/2021 | | |------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------|--| | | MM/DD/YYYYY | | MM/DD/YYYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | FIGURE SECURITIES, INC. | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | X Broker-dealer Security-based swap dealer Major security-based swap participant | | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 650 CALIFORNIA STREET, SUITE 2700 | | | | | | (No. and Street) | | | | | SAN FRANCISCO | CA | | 94108 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | WILLIAM WHITE | 415-373-2219 | | BWHITE@FIGURE.COM | | | (Name) | (Area Code -- Telephone No.) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | MARCUM LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 10 MECVILLE PARK ROAD | MIBILATION FOR | NY | 11747 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/16/2003 | | | 688 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this…Read the full text as markdown