Are you an independent, well-credentialed placement agent seeking a robust compliance platform and collaborative environment on and in which to transact deals?
GT Securities Offers Broker-Dealer Sponsorship Services To Independent Investment Bankers, Independent Placement Agents & Institutional Financiers
The Financial Industry Regulatory Authority (FINRA) Series 79 investment banker licensing exam and compliance category requirement, combined with recent conduct business “Pay to Play Rules” make appropriate securities licensing, compliance with federal securities laws, and proper broker-dealer affiliation 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 member and SIPC licensed broker-dealer, allowing you to spend more resources on what you do best.
GT Securities Broker-Dealer Registration Requirements
In order to qualify as a GT Securities-registered Placement Agent, you must:
- Have at least 10 years of experience in investment banking, securities offerings, mergers and acquisitions, as a registered investment advisor (RIA), institutional finance, the financial industry, etc.
- Be capable of sourcing and executing your own deals
- Have a clean compliance history and be able to easily pass a regulatory background check
- Have a current registered broker-dealer relationship (or be within the two-year window of affiliation) or have already passed (or are prepared to pass) the required FINRA Registered Representatives (RR) licensing/financial advisors exams, including the Securities Industry Essentials (SIE) exam, the Series 7, 63, 79, and 82 exams, among others
Additionally, our broker-dealer platform can be an excellent adjunct fit for financial advisors, investment advisers, and private equity, venture capital, and hedge funds professionals interested in adding an agency private placement / registered representatives component to their business model via affiliating with a Financial Industry Regulatory Authority (FINRA) licensed broker-dealer.
GT Securities will work with you to design a customized broker-dealer sponsorship that factors your securities activities, transaction types and frequencies, compliance matters, existing overhead, and licensing requirements (FINRA Exams Series 7, 79, 62, 63, etc.).
In addition to a full-time team dedicated to your broker-dealer sponsorship, compliance, regulatory, and other broker-dealer needs, our firm offers the benefits listed below.
Other Client Services
Among other services, bankers on our platform provide client services and advice including:
- Mergers and Acquisitions (M&A) Transactional Advice: Sell-side and buy-side transactional and execution services for clients planning to sell or acquire businesses.
- Capital-Raising: Advising and assisting companies of raise equity and debt capital from financing sources of all types and sizes.
- Secondary Financings: Our secondary markets practice negotiates and arranges for the purchase and sale of private securities from buyers and sellers including venture capital and private equity firms, family offices, and individual shareholders.
- Independent Sponsors: Our independent sponsors practice provides capital advice and access through all aspects of the buyout process
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, D&B Hoovers and 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, allowing 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 industry experts (developed over 20 years as a broker-dealer).
Branding Choices
Operate, market and sell under your own brand and/or under the GT Securities umbrella. On-demand meeting and conference room access and availability via WeWork and Regus.
Analyst/Associate Support
Preferred access to cost effective banker analyst and associate level personnel support, ranging from marketing, industry and competitive research, to presentation graphics, to CIM drafting, to investor/acquirer list development, to full deal "handoff" and more.
Security
SEC Rule 17a-4(f) compliant data platform, storage and retention, with 99.99%+ documented service uptimes. Named a Financial Services Review Top Compliance Service Company.
Flexibility
A flexible broker/dealer relationship that can be terminated at your discretion.
What Our Bankers Say
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