The Ultimate
"Compliance as a Service"

GT Securities is the ultimate FINRA / SEC Compliance and deal collaboration platform.

Not only do we handle all of your compliance and regulatory requirements.

But we also give you the tools & resources to best source and close the right deals.

How We Serve You

For independent Investment Bankers, M&A Advisors and Institutional Financiers (global and domestic), GT Securities offers a full compliance platform and collaborative environment on and in which to transact deals. Our specific services include the following:

We register, support and supervise some of the highest credentialed and successful M&A professionals in the industry.

We register, support and supervise some of the best connected and effective institutional financiers and deal-makers in the world. 

We work with groups seeking to form their own broker-dealer and need a regulatory bridge until they obtain FINRA approval.

We help foreign broker-dealers access US institutional investors via chaperoning arrangements.

Benefits of Working with GT Securities


A “fast” compliance platform that provides high speed and cost effective turn-around on your mandates and deals

Best of Class Tools

Included or discounted access to best-of class research & technology platforms including PitchBook, CapitalIQ, IBISWorld, Hoovers & Statista

Industry Relationships

Access to our industry relationships including FINOPs, auditors, securities attorneys, and due diligence and research experts


Coverage under GT Securities’ Errors and Omissions Insurance Policy

Thought Leadership

Peer networking, collaboration, and thought leadership with some of the most successful investment bankers in the industry

Deal Referring

Access to our banker network for collaboration and referral opportunities to profit from deals outside of your core industry niche and practice areas

Branding Choice

Operate, market and sell under your own brand or under the GT Securities umbrella


A flexible broker/dealer relationship that can be amended at your discretion