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Current Employers
Figure Investment Advisors, Llc

650 California Street Suite 200, San Francisco, CA 94108 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-02
  • CA RA
    APPROVED
    Since 2026-01-02

Branch Locations

El Dorado Hills, CA • United States

650 California Street Suite 200, San Francisco, CA 94108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Full Time Education - Occidental College Los Angeles CA 07/2016 04/2017
Aeromana Los Angeles CA 04/2017 06/2017
Arthur J Gallagher Los Angeles NV 06/2017 08/2017
Supplies Outlet Reno NV 08/2017 01/2018
Horace Mann - Sierra Educators Insurance Reno NV 02/2018 03/2018
Red Lobster Reno NV 03/2018 06/2018
Arthur J Gallagher Los Angeles CA 06/2018 08/2018
Supplies Outlet Reno NV 09/2018 08/2019
Full Time Education - University Of Nevada, Reno Reno NV 08/2019 12/2019
Lp Insurance Services Reno NV 12/2019 08/2021
Its Logistics Reno NV 08/2021 10/2021
Unemployed Reno NV 10/2021 01/2022
Figure Lending Llc Reno NV 01/2022 09/2022
Figure Technologies, Inc Reno NV 09/2022 07/2023
Figure Securities, Inc. San Francisco CA 08/2023 Present
Figure Technologies, Inc. San Francisco CA 08/2023 03/2024
Figure Investment Advisors, Llc San Francisco CA 08/2023 Present
Figure Securities, Inc. San Francisco CA 10/2022 07/2023
Figure Markets Holdings, Inc. San Francisco CA 03/2024 Present
  • 07/2016 → 04/2017
    Full Time Education - Occidental College
    Los Angeles, CA
  • 04/2017 → 06/2017
    Aeromana
    Los Angeles, CA
  • 06/2017 → 08/2017
    Arthur J Gallagher
    Los Angeles, NV
  • 08/2017 → 01/2018
    Supplies Outlet
    Reno, NV
  • 02/2018 → 03/2018
    Horace Mann - Sierra Educators Insurance
    Reno, NV
  • 03/2018 → 06/2018
    Red Lobster
    Reno, NV
  • 06/2018 → 08/2018
    Arthur J Gallagher
    Los Angeles, CA
  • 09/2018 → 08/2019
    Supplies Outlet
    Reno, NV
  • 08/2019 → 12/2019
    Full Time Education - University Of Nevada, Reno
    Reno, NV
  • 12/2019 → 08/2021
    Lp Insurance Services
    Reno, NV
  • 08/2021 → 10/2021
    Its Logistics
    Reno, NV
  • 10/2021 → 01/2022
    Unemployed
    Reno, NV
  • 01/2022 → 09/2022
    Figure Lending Llc
    Reno, NV
  • 09/2022 → 07/2023
    Figure Technologies, Inc
    Reno, NV
  • 08/2023 → Present
    Figure Securities, Inc.
    San Francisco, CA
  • 08/2023 → 03/2024
    Figure Technologies, Inc.
    San Francisco, CA
  • 08/2023 → Present
    San Francisco, CA
  • 10/2022 → 07/2023
    Figure Securities, Inc.
    San Francisco, CA
  • 03/2024 → Present
    Figure Markets Holdings, Inc.
    San Francisco, CA
Other Businesses

ALL EMPLOYEES OF FIGURE SECURITIES, INC. ("FSI") ARE EMPLOYED BY FSI'S ULTIMATE PARENT COMPANY, FIGURE TECHNOLOGY SOLUTIONS, INC. ("FTS"). EMPLOYEE WORKS FOR FSI MAY PERFORM LIMITED FUNCTIONS FOR FTS OR FOR ITS SUBSIDIARIES. SUCH EMPLOYMENT AND DUTIES ARE SEPARATE AND DISTINCT FROM DUTIES PERFORMED FOR FSI AND DO NOT INTERFERE WITH THEIR RESPONSIBILITIES AT FSI AND DO NOT RISE TO ANY CONFLICTS OF INTEREST. START DATE: 08/10/2023.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-01
  • S66 Uniform Combined State Law Examination
    2022-10-01

View on SEC IAPD

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