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ABOUT

Arens Securities

Arens Securities is a New York City based broker-dealer specializing in execution services, private placements, and variable/non-variable insurance products, and mutual funds. Our team of experienced professionals provides personalized solutions to meet your financial needs. We understand that every client is unique and we work closely with you to develop a customized strategy that fits your goals and objectives.

Our Team

Our Team

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David C. Ales  CEO/CCO

david.ales@arensecurities.com |

Phone: 646-924-1770

At Arens Securities, our team is comprised of highly skilled professionals with years of experience in the financial industry. We are committed to providing exceptional service and delivering results that exceed your expectations.

Our CEO, David Ales, has  25 years of finance expertise.  Over his career on Wall Street, Mr. Ales has held numerous roles throughout the equities and derivatives field, including Operations manager, Self-Clearing broker dealer supervisor, ROP, Trade desk supervisor, & Chief Compliance Officer roles. He has held management positions with Jefferies Group, Charles Schwab INC. and Velocity Clearing, LLC.

 

Mr. Ales holds licenses and has experience with FINRA, SEC, MSRB, NFA & IIROC

 

He holds the following licenses and certifications:

SIE, Series 3,4,7,9,10,14,24,25,27,53,55,63,66,&79

IIROC Investment Dealer Supervision Certification

IIROC Partners, Directors, & Senior Officers Certification

IIROC Chief Compliance Officer Certification

DACFP Blockchain & Digital Assets Certification

17-54 NY State Accident, Life & Health Insurance

New York State Notary

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Timothy Looney, CFO

Timothy.looney@arensecurities.com | Phone: 646-924-1770

Mr. Looney has been a registered representative  with FINRA since 1996 and holds his Series 7, 8, 63, 24 and 27 licenses. Mr. Looney is also a licensed Certified Public Accountant (CPA). Mr. Looney has held senior level principal positions over the years  at several firms and is currently  a principal of Guardian Trading, a division of Velocity Clearing, LLC —  besides holding several CFO roles.

Tim's vast knowledge of trading, operations and regulations make him an invaluable asset to Arens Securities.

Mr. Looney also sits on board of directors for the Trade It Forward Foundation -  a non-profit organization of Wall Street participants dedicated to giving to those in need.

Contact Us

If you have any questions or would like to learn more about our services, please do not hesitate to contact us. We are here to help.

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