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JR

Jason Asbury Rives

FIGURE SECURITIES

Las Vegas, NV

·CRD# 5157829·19 years experience

Professional Summary

Jason Asbury Rives is a registered financial advisor currently at FIGURE SECURITIES, INC. located in Las Vegas, Nevada. Jason is registered as a RR (Registered Representative) and started their career in finance in 2007. Jason has worked at 7 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

19 years in the financial services industry

Current & Past Employments

FIGURE SECURITIES, INC.·CRD# 307093

BD

Las Vegas, NV

February 21, 2023 - Present

AXOS CLEARING LLC·CRD# 117176

BD

Centennial, CO

August 14, 2020 - February 14, 2023

AXOS INVEST, INC·CRD# 150953

RIA

Las Vegas, NV

June 14, 2019 - February 14, 2023

AXOS INVEST LLC·CRD# 172393

BD

Las Vegas, NV

June 14, 2019 - February 14, 2023

HORACE MANN INVESTORS, INC.·CRD# 11643

RIA

Springfield, IL

February 23, 2015 - May 2, 2019

HORACE MANN INVESTORS, INC.·CRD# 11643

BD

Springfield, IL

January 14, 2015 - May 2, 2019

FIRST MIDWEST SECURITIES, INC.·CRD# 21786

RIA

Bloomington, IL

January 3, 2011 - January 12, 2015

FIRST MIDWEST SECURITIES, INC.·CRD# 21786

BD

Bloomington, IL

April 12, 2010 - January 12, 2015

SECURITIES SERVICE NETWORK, LLC·CRD# 13318

BD

Knoxville, TN

July 24, 2007 - October 27, 2008

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Current Firm

FS

FIGURE SECURITIES, INC.

FIGURE MARKETPLACE | FIGURE SECURITIES, INC.

CRD#: 307093 / SEC#: 8-70478

BD

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

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FIGURE MARKETS, INC.	SHAREHOLDER	—
PARISE, JANICE DRU	FINOP/PFO	2338583
PIETROMONACO, CLARK THOMAS	GENERAL SALES PRINCIPAL	6889475
RIVES, JASON ASBURY	CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER	5157829

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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.

AXOS SECURITIES LLC LOCATED AT 9205 W RUSSELL ROAD SUITE 400 LAS VEGAS, NV 89148, NATURE: HOLDING COMPANY FOR BO/TH AXOS INVEST AND AXOS CLEARING, POSITION: CHIEF COMPLIANCE OFFICER, START DATE: 08/2020, APPROXIMATELY 40 HOURS PER MONTH WHICH WILL BE DURING SECURITIES TRADING HOURS. NORTH AMERICAN SECURITIES ADIMINISTRATORS ASSOCIATION, 750 FIRST STREET NE, SUITE 1140, WASHINGTON, DC 20002, NATURE: WRITING QUESTIONS FOR SECURITIES EXAMINATIONS, POSITION: SUBJECT MATTER EXPERT, START DATE: 06/2022, APPROXIMATELY 24 HOURS PER QUARTER WHICH WILL BE DURING SECURITIES TRADING HOURS.

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State Registrations and Notice Filings

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

RR

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

RR

Alabama
(8/10/2026)

RR

Alaska
(8/10/2026)

RR

Arizona
(8/10/2026)

RR

Arkansas
(8/10/2026)

RR

California
(2/21/2023)

RR

Colorado
(8/10/2026)

RR

Connecticut
(8/10/2026)

RR

Delaware
(8/10/2026)

RR

District of Columbia
(8/10/2026)

RR

Florida
(8/10/2026)

RR

Georgia
(8/10/2026)

RR

Hawaii
(8/10/2026)

RR

Idaho
(8/10/2026)

RR

Illinois
(8/10/2026)

RR

Indiana
(2/21/2023)

RR

Iowa
(8/10/2026)

RR

Kansas
(8/10/2026)

RR

Kentucky
(8/10/2026)

RR

Louisiana
(8/10/2026)

RR

Maine
(8/10/2026)

RR

Maryland
(8/10/2026)

RR

Massachusetts
(8/10/2026)

RR

Michigan
(8/10/2026)

RR

Minnesota
(8/10/2026)

RR

Mississippi
(8/10/2026)

RR

Missouri
(8/10/2026)

RR

Montana
(8/10/2026)

RR

Nebraska
(8/10/2026)

RR

Nevada
(8/1/2023)

RR

New Hampshire
(8/10/2026)

RR

New Jersey
(2/21/2023)

RR

New Mexico
(8/10/2026)

RR

New York
(8/10/2026)

RR

North Carolina
(8/10/2026)

RR

North Dakota
(8/10/2026)

RR

Ohio
(8/11/2026)

RR

Oklahoma
(8/10/2026)

RR

Oregon
(8/10/2026)

RR

Pennsylvania
(8/10/2026)

RR

Puerto Rico
(8/10/2026)

RR

Rhode Island
(8/10/2026)

RR

South Carolina
(2/21/2023)

RR

South Dakota
(1/9/2024)

RR

Tennessee
(8/10/2026)

RR

Texas
(8/10/2026)

RR

Utah
(8/10/2026)

RR

Vermont
(8/10/2026)

RR

Virgin Islands
(8/10/2026)

RR

Virginia
(2/21/2023)

RR

Washington
(8/10/2026)

RR

West Virginia
(8/10/2026)

RR

Wisconsin
(8/10/2026)

RR

Wyoming
(8/10/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2010About the Series 66 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2007About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 2015About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed May 2012About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Sep 2007About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Jason Asbury Rives's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JR

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