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ABOUT

Arens Securities

Arens Securities is a New York  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  
Chief Executive Officer

david.ales@arenssecurities.com |

Phone: 646-929-3459

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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For any compliance related matters, please email:

compliance@arenssecurites.com​​​​​​

Peter Doyle 
Chief Compliance  Officer

peter.doyle@arenssecurities.com |

Phone: 646-929-3459

Mr. Peter Doyle is the Chief Compliance Officer (CCO) of Arens Securities, LLC. In this capacity, he oversees the firm’s compliance and supervisory program, ensuring that its operations align with regulatory requirements and industry best practices. He collaborates with the leadership team to foster a culture of integrity, accountability, and client protection.

 

With more than 30 years in financial services, Peter brings extensive expertise in compliance, risk management, and supervisory oversight. His career has focused on helping firms navigate evolving regulations, strengthen business practices, and build lasting trust with both regulators and clients.

 

Peter holds multiple FINRA registrations, including the Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 4 (Registered Options Principal), and Series 63 (Uniform Securities Agent State Law). These credentials reflect his broad supervisory knowledge and his ability to oversee a wide range of financial activities.

 

At Arens Securities, Peter is dedicated to advancing the firm’s mission of providing transparent, reliable investment services while upholding the highest professional standards.

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.

Arens Securities, LLC
Member FINRA/ SIPC.

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@2025 Arens Securities  LLC IS REGISTERED WITH THE SEC AND A MEMBER OF FINRA AND SIPC. MARKET VOLATILITY AND VOLUME MAY DELAY SYSTEMS ACCESS AND TRADE EXECUTION. CHECK THE BACKGROUND OF Arens Securities  on FINRA'S BROKER CHECK.

 

OPTIONS INVOLVE RISK AND ARE NOT SUITABLE FOR ALL INVESTORS. FOR MORE INFORMATION READ THE CHARACTERISTICS AND RISKS OF STANDARDIZED OPTIONS, ALSO KNOWN AS THE OPTIONS DISCLOSURE DOCUMENT (ODD). ALTERNATIVELY, PLEASE CONTACT INFO@ARENSSECURITIES.COM TO RECEIVE A COPY OF THE ODD.

 

To determine if the Fund is an appropriate investment for you, carefully consider the Fund’s investment objectives, risk, and charges and expenses. This and other information can be found in the Fund’s full and summary prospectus which can be obtained by calling 646-929-3459 or by visiting www.Arenssecurities.com. Please read the prospectus carefully before investing.

 

Investing involves risk, including the possible loss of principal. International investments entail risks not ordinarily associated with U.S. investments including fluctuation in currency values, differences in accounting principles, or economic or political instability in other nations. Emerging markets involve heightened risks related to the same factors, as well as increased volatility and lower trading volume. In addition to the normal risks associated with investing, investments in smaller companies typically exhibit higher volatility. Concentration in infrastructure-related securities involves sector risk and concentration risk, particularly greater exposure to adverse economic, regulatory, political, legal, liquidity, and tax risks associated with MLPs and REITs. The Fund may invest in derivatives, which are often more volatile than other investments and may magnify the Fund’s gains or losses.

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Investments in private placements and start-up investments in particular tend to be speculative, illiquid and involve a high degree of risk.  Those investors who cannot afford to lose their entire investment should not invest in start-ups. Companies seeking startup investments tend to be in earlier stages of development and their business model, products and services may not yet be fully developed, operational or tested in the public marketplace. There is no guarantee that the stated valuation and other terms are accurate or in agreement with the market or industry valuations. Additionally, investors may receive restricted stock that may be subject to holding period requirements. In the most sensible investment strategy for start-up investing, start-ups should only be part of your overall investment portfolio. Investing in private placements carries additional risk and you should be prepared to lose some or all of your investment. Prospective clients are strongly urged to review the offering documents carefully and consult with their own financial, legal and tax advisors prior to investing.

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For further Disclosures information, please visit our Disclosures page -- Arens Securities Disclosures 

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