David C. Ales
Professional summary
David Christopher Ales, who also goes by David Ales, is a registered financial professional currently at ARENS SECURITIES located in Hewlett, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 9 firms and has passed the Series 66, Series 63, Series 82TO, Series 57TO, Series 52TO, Series 99TO, Series 3, Series 79TO, SIE, Series 55, Series 25, Series 7, Series 27, Series 53, Series 14, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Christopher Ales's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2023 - Present
ARENS SECURITIES
Office #1: 224 Franklin Avenue , Suite B-2, Hewlett, NY 11557December 17, 2021 - June 30, 2022
MOMENTIX CAPITAL, INC.
March 2, 2020 - October 1, 2024
VELOCITY CLEARING, LLC
March 22, 2019 - December 19, 2021
VELOCITY CAPITAL, LLC
March 23, 2018 - February 8, 2019
CV BROKERAGE, INC
October 30, 2017 - April 9, 2018
CHARLES SCHWAB & CO., INC.
January 23, 2017 - April 25, 2017
STUART FRANKEL & CO., INCORPORATED
May 12, 2009 - November 11, 2016
JEFFERIES LLC
February 2, 2001 - January 24, 2017
JEFFERIES EXECUTION SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/28/2023)
(10/23/2025)
Exams
Series 82TO
Date: 6/26/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 12/16/2019
Investment Banking Registered Representative ExaminationSeries 55
Date: 10/14/2004
Limited Representative-Equity Trader ExamSeries 25
Date: 10/22/2001
NYSE Trading Assistant ExaminationFINRA
Current Firm
ARENS SECURITIES
CRD#: 318437 / SEC#: , 8-70934
Contact information
FINRA licenses (29 States and Territories)
Red Flags
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