Broker-Dealer Services

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BrokerDealerAre you an independent, well-credentialed investment banker seeking a strong compliance platform and collaborative environment on and in which to transact deals?

GT Securities offers broker/dealer services to independent Investment Bankers, M&A Advisors and Institutional Financiers. The FINRA Series 79 investment banker exam and compliance category requirement, combined with the recent “Pay to Play Rules” make appropriate securities licensing more critical than ever.

Our Broker Dealer Services and Registered Representative Affiliate Program offers qualified individuals the opportunity to work under GT Securities, a FINRA / SIPC licensed broker/dealer, allowing you to spend more resources on what you do best.

In order to qualify as a GT Securities Affiliate, you must:

  • Have at least 10 years of experience in investment banking, mergers and acquistions,  and / or institutional finance
  • Be capable of sourcing and executing your own deals
  • Have a spotless compliance history and be able to easily pass a regulatory background check

GT Securities will work with you to design a customized broker/dealer relationship that factors in your transaction types and frequencies, compliance requirements, existing overhead and licensing requirements (Series 79, 7, 62, 63 etc.).

In addition to a full-time team dedicated to your compliance and other broker dealer needs, our affiliate program offers the following benefits:

  • Peer networking and collaboration opportunities which allow you to monetize non-core transactions and collaborate on best practices
  • Access to a world-class research, analyst, and deal support team  via our affiliated management consultancy Growthink
  • Discounted rates available for certain research and technology platforms including CapitalIQ, IBISWorldHoovers, Compete.com, and Statista
  • Brand Identity Preservation
  • A “fast compliance environment” that provides high speed and efficient turn-around on your mandates
  • A flexible broker/dealer relationship that can be terminated at your discretion

To learn more about our affiliate program, please call us at the numbers below or email us at [email protected].

Los Angeles:

12655 West Jefferson Boulevard
Los Angeles, CA 90066
800-947-6978 or 310-694-0441

San Francisco:

55 2nd Street, Suite 570
San Francisco, CA 94105
415-450-6237