Broker Dealer Services

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, 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.).

We offer four specific services:

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

Benefits of Working with GT Securities

Speed

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

Best of Class Tools

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

Industry Relationships

Access to our industry relationships such as FINOPs, consultants and law firms

Security

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 network of other affiliates for ideas, discussion and to allow you to profit from deals that may not be suitable for your own investor/acquirer network

Branding Choices

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

Flexibility

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

Interested in Learning More?

Please call us at 800-947-6978 or complete the form below with any questions or information we should know and we’ll reach out to you to setup a time to speak.