Nicholas G. Carmi

FIGURE SECURITIES

SAN FRANCISCO, CA 94108

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CRD#: 2799392

Professional summary

Nicholas G Carmi, who also goes by Nicholas G Carmi, is a registered financial professional currently at FIGURE SECURITIES, INC. located in San Francisco, California.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1999. Nicholas has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas G Carmi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas G Carmi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 1, 2025 - Present

FIGURE SECURITIES, INC.

Office #1: 650 California Street Suite 200, San Francisco, CA 94108

CRD#: 307093

SAN FRANCISCO, CA

Past

July 24, 2023 - January 19, 2024

SI SECURITIES, LLC

CRD#: 170937

BOSTON, MA

Past

May 25, 2020 - July 13, 2022

PORTUM CAPITAL LLC

CRD#: 300440

New York, NY

Past

July 10, 2017 - May 7, 2019

TRC MARKETS LLC

CRD#: 171272

NEW YORK, NY

Past

September 14, 2010 - November 17, 2015

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 14, 2009 - October 7, 2010

ARKONIS CAPITAL LLC

CRD#: 147798

NEW YORK, NY

Past

September 22, 2008 - December 2, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 25, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 28, 2003 - May 26, 2006

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

April 6, 1999 - April 10, 2003

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/1/2025)

Exams

State Security Law Exam

Series 63

Date: 3/15/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 7/24/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/28/1996

National Commodity Futures Examination

Principal/Supervisory Exam

Series 9

Date: 2/6/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FIGURE SECURITIES, INC.

FIGURE MARKETPLACE | FIGURE SECURITIES, INC.

CRD#: 307093 / SEC#: , 8-70478

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

650 California Street Suite 200, San Francisco, CA 94108

Mailing Address

650 California Street Suite 200, San Francisco, CA 94108

Phone number

(628) 210-6930

Established

Delaware since 06/06/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FIGURE MARKETS, INC.	SHAREHOLDER
BOJINOV, ALEXANDRE ZDRAVKOV	POO / BROKERAGE OPERATIONS PRINCIPAL	5272433
PARISE, JANICE DRU	FINOP/PFO	2338583
RIVES, JASON ASBURY	CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER	5157829

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicholas G. Carmi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas G Carmi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SI SECURITIES, LLC

PORTUM CAPITAL LLC

TRC MARKETS LLC

DEUTSCHE BANK SECURITIES INC.

ARKONIS CAPITAL LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

UBS SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2021

Series 99TO

Date: 7/24/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/5/1999

Series 3

Date: 10/28/1996

Series 9

Date: 2/6/2004

FINRA

Current Firm

FIGURE SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FIGURE SECURITIES, INC.

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