Are 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 and M&A Advisors. 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, or be an experienced professional in an adjacent industry (Private Equity, RIA, etc.)
- 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:
Why Work With Us
Benefits of Working with GT Securities
Speed
An agile compliance platform that provides high speed, efficient turnaround on your mandates and deals.
Cost
Our lean, technology-based platform allows us to offer industry-leading payouts, where the vast majority of earned fees flow to the investment banker not the "house."
Best of Class Tools
Access to best-of-class, ready-to-use legal templates, along with research & technology platforms, including Pitchbook, S&P Capital IQ, IBISWorld, Hoovers & Statista, all driving more efficient deal making.
Deal Referring
Peer networking, collaboration, and thought leadership with some of the most successful investment bankers in the industry, and to allow you to profit from deals that may not be suitable for your own investor/acquirer network.
Industry Relationships
Access to our industry relationships, including law firms, deal diligence, and compliance and regulatory experts (developed over 20 years as a broker-dealer).
Branding Choices
A flexible broker/dealer relationship that can be discontinued at your discretion.
Security
SEC/FINRA reviewed diligence and disclosure protocols, data rooms and deal tools. Named a Financial Services Review Top Compliance Service Company.
Flexibility
A flexible broker/dealer relationship that can be terminated at your discretion.
