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PY

Philip J. Yates

FIGURE SECURITIES
SAN FRANCISCO, CA 94108
Some features on this profile are disabled
CRD#: 6407142
PY

Professional summary

Philip Joseph Yates, who also goes by Phil Yates, is a registered financial professional currently at FIGURE SECURITIES, INC. located in San Francisco, California.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2015. Philip has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phil Yates

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 Philip Joseph Yates'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

November 24, 2025 - Present

FIGURE SECURITIES, INC.

Office #1: 650 California Street Suite 200, San Francisco, CA 94108
BD
CRD#: 307093
SAN FRANCISCO, CA
Past

April 15, 2024 - October 20, 2025

AXOS INVEST LLC

BD
CRD#: 172393
Centennial , CO
Past

October 4, 2023 - October 20, 2025

AXOS CLEARING LLC

BD
CRD#: 117176
CENTENNIAL, CO
Past

March 22, 2021 - June 30, 2023

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Denver, CO
Past

April 28, 2015 - March 19, 2021

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
LONE TREE, CO

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(11/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/28/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIGURE MARKETS, INC.SHAREHOLDER
BOJINOV, ALEXANDRE ZDRAVKOVPOO / BROKERAGE OPERATIONS PRINCIPAL5272433
PARISE, JANICE DRUFINOP/PFO2338583
RIVES, JASON ASBURYCHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER5157829

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.

Company Information

FIGURE SECURITIES, INC.

CRD#: 307093San Francisco, CA 94108

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