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DB

David J. Bunt

ARK SECURITIES LLC
PALO ALTO, CA 94303
Some features on this profile are disabled
CRD#: 2201693
DB

Professional summary

David John Bunt is a registered financial professional currently at ARK SECURITIES LLC located in Palo Alto, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 16 firms and has passed the Series 63, Series 99TO, Series 3, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 David John Bunt's 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

January 2, 2026 - Present

ARK SECURITIES LLC

Office #1: 1950 University Circle Suite 200, Palo Alto, CA 94303
BD
CRD#: 246787
PALO ALTO, CA
Past

April 23, 2024 - February 9, 2026

BANCTRUST SECURITIES USA

BD
CRD#: 313116
New York, NY
Past

December 6, 2022 - April 22, 2024

MARCO POLO SECURITIES LLC

BD
CRD#: 46561
New York, NY
Past

November 3, 2017 - November 30, 2022

GREENLEYS CAPITAL MARKETS LLP

BD
CRD#: 168558
New York, NY
Past

May 24, 2016 - May 19, 2017

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

February 11, 2014 - May 18, 2016

PORTALES PARTNERS, LLC

BD
CRD#: 112311
NEW YORK, NY
Past

March 16, 2010 - July 25, 2013

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

January 4, 2010 - March 8, 2010

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

March 2, 2009 - July 13, 2009

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

December 1, 2008 - March 19, 2009

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
NEW YORK, NY
Past

January 31, 2005 - November 17, 2008

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

August 13, 2003 - February 2, 2005

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

July 22, 2002 - July 28, 2003

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

August 3, 2000 - June 4, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 14, 1994 - July 12, 2000

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

March 22, 1993 - August 24, 1994

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

February 10, 1992 - April 20, 1993

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY

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
California
(2/13/2026)
RR
New York
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 9/2/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 3
Date: 11/20/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 7/8/2016
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 10/2/2015
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/7/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/8/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/2/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ARK SECURITIES LLC
ARK SECURITIES LLC | T&G PRIVATE CAPITAL LLC | HUDSONFIELD SECURITIES LLC

CRD#: 246787 / SEC#: , 8-69629

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

Main Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Mailing Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Phone number
(626) 235-8063
Established
Delaware since 04/21/2015
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVE ASSET MANAGEMENT LLCPARENT COMPANY
BUNT, DAVID JOHNCHIEF OPERATIONS OFFICER2201693
GRAY, JOHN CLARKEFINOP/CFO/PFO/POO1367440
TAYLOR, MICAH ANTHONY MR.CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER2890693

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

ARK SECURITIES LLC

CRD#: 246787Palo Alto, CA 94303

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