Full text of FIGURE SECURITIES, INC.'s X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | SECURITIES AND EXCHANGE COMMISSION | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | |----------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------|---------------------------------------------------------------------------------------------|--| | | Washington, D.C. 20549 | | | | | | | | | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | | SEC FILE NUMBER | | | | | | | | | | PART III | | 8-70478 | | | | 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 001/01/2022<br>MM/DD/YY | 12/31/2022<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: FIGURE SECURITIES, INC. | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | & Broker-dealer | []Security-based swap dealer ______ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ | | | | | Ll 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@FIGURESECURITIES.COM | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | KPMG LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 345 PARK AVENUE | NEW YORK | NY | 10154 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 185 | | | | | | | | | 10/20/2003<br>(Date of Registration with PCAOB)(if applicable) | | | | | | | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | UNITED STATES 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…Read the full text as markdown