ARK Securities LLC

Broker-DealerFINRA MemberEst. 2015
Total AUM
Advisory reps
5
Avg account
$0

Firm details

Headquarters
East Palo Alto, California
CRD number
246787
Registered since
November 3, 2015

Firm profile

FINTRX

Overview

ARK Securities LLC is a limited liability company that appears in SEC records with an initial registration in 2015. The firm is listed as owned by a combination of a domestic entity and an individual and is classified in the database as "unclassified." The FINTRX entry provides minimal detail about business lines, client types, fee schedules, or specific advisory activities. The record also indicates ARK Securities LLC is not identified as an active ESG investor, is not a multi-state adviser, and is not designated as a capital allocator, pension consultant, or related adviser. Public disclosures in the dataset do not include descriptions of investment strategy, sector focus, or manager allocation preferences, so the firm’s operational role beyond its legal form and registration year is not discernible from the available information.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Shen Lu

    Shen Lu

    Chief Operating OfficerCRD 4640530

  • David Bunt

    David Bunt

    Chief Compliance OfficerCRD 2201693

Contacts

3 of 3
  • Tianyu Ye

    Tianyu Ye

    Brokerage Operations SpecialistCRD 6434349

  • Micah Taylor

    Micah Taylor

    Co-FounderCRD 2890693

  • John Gray

    John Gray

    FinOpCRD 1367440

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

Location

Primary office

East Palo Alto, CA

San Mateo

Location

East Palo Alto, CA

Headquartered in East Palo Alto, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
San Mateo
Address
1950 University Ave
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth