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 organized as a limited liability company and has been SEC-registered since 2015. The firm is classified as an investment bank and placement agent rather than a discretionary asset manager or capital allocator. Ownership is recorded as a mix of a domestic entity and an individual. The firm is not identified as an active ESG investor, a multi-state adviser, a pension consultant, or a related adviser. Operational details such as fee schedules, specific advisory services, or business activity descriptions were not disclosed in the available record. The public profile points toward transactional and capital-raising roles consistent with placement-agent activity rather than ongoing portfolio management.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

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

  • John Gray

    FinOpCRD 1367440

  • Micah Taylor

    Micah Taylor

    Co-FounderCRD 2890693

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

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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