The Full Story
About
Compliance Solutions of New York, LLC was started in 2021 by two co-workers with an unparalleled understanding of the broker-dealer industry, having both been on Wall Street for their entire adult careers. Knowing the rules is one thing, but knowing how those rules apply to all aspects of your business takes years of experience in the industry. Having Principal Supervisors, Chief Compliance Officers, Counsel & Technology Development under one roof makes for an extraordinary consulting experience for our clientele.
David C. Ales, Co-Founder & CEO
With 25 years of finance expertise, knowing the rules and actually having been involved in every aspect of the broker-business is what sets him apart from other consultants. Over his career on Wall Street, Mr. Ales has held numerous roles throughout the equities and derivatives field, including Operations management, Self-Clearing broker dealer supervisor, ROP, Trade desk Supervisor, & Chief Compliance officer. 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
