Full text of FIGURE SECURITIES, INC.'s X-17A-5 filed 2026-03-02 (period 2025-12-31). 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 # ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-70478 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|-----------------|--------------------------------------------|--|--| | | 01/01/2025<br>12/31/2025 | | | | | | FILING FOR THE PERIOD BEGINNING<br>AND ENDING | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | FIGURE SECURITIES, INC.<br>NAME OF FIRM: | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>& Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer __ _ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>650 CALIFORNIA STREET, SUITE 2700 | | | | | | | | (No. and Street) | | | | | | FRANCISCO<br>SAN | CA | | 94108 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | JASON RIVES | 865-385-6776 | COM | JRIVES@FIGURESECURITIES. | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. Accountant IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>KPMG LLP | | | | | | | 55 SECOND ST SUITE 1400 | (Name - if individual, state last, first, and middle name)<br>SAN FRANCISCO | CA | 94105 | | | | (Address)<br>10/20/2003 | (City) | (State)<br>185 | (Zip Code) | | | | (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 form are not required to respond unless the form displays a currently valid OMB control number.…Read the full text as markdown