Chaperoning Solutions
For Non-US Brokers

chaperoning services

As a chaperoning broker-dealer, GT Securities works with select investment professionals working outside the United States who are interested in connecting with U.S. investment banks, broker-dealers, and other institutional investors and acquirers. 

We provide a comprehensive solution that includes everything from best-in-class regulatory compliance to access to research to industry relationships, to analyst/associate support, to research and intelligence database access, and more. Our chaperoning services are designed to help you succeed in the US market.

Securities Exchange Act Rule 15a-6 requires foreign broker-dealers who wish to transact business with U.S. institutions to be registered with the SEC and to maintain a physical presence in the United States. This can be a costly and time-consuming process. GT Securities can help you navigate the broker-dealer registration requirements and options to help you establish a regulatory-compliant U.S. presence.

If you are a non-US broker-dealer and/or independent investment banker interested in doing business in the United States, contact GT Securities today. We can help you navigate the regulatory landscape and succeed in the US market.

In addition to a full-time team dedicated to your regulatory compliance, our foreign broker-dealer and investment banking program offers benefits including the below.

GT Securities has a long history of working with foreign brokers and we have the experience and expertise to help you succeed in the US market. Contact us today to learn more about our chaperoning services.

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, 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

★★★★★

“Working on the GT Securities platform has been tremendous. Especially since GTS provides the opportunity to collaborate with other bankers that specialize in additional niche sectors that can offer additional resources for my clients. I’ve worked for other broker dealer platforms in the past and this is definitely the best place to be!”
matt m
Matt McNeill
SENIOR MANAGING PRINCIPAL, METRO INVESTMENT BANKERS

★★★★★

“I like a lot of things about the GT Securities team, especially that they really understand how to handle complex transactions and unique business situations where I act as both a banker and an advisor with clients. They are flexible and highly responsive and I enjoy doing business with them."


frank b
Franck Brinkhaus
CEO & FOUNDER, BIOTECH ALLIANCES

★★★★★

“My experience on the GT Securities platform has been excellent. I have found their entire broker dealer team to be ethical, responsive, and knowledgeable. I highly recommend them.”





james q
Jamie Gerard
MANAGING DIRECTOR, HYCROFT ADVISORS

★★★★★

“One of the ways I really have enjoyed working with GTS is the easy access to and professionalism of the Compliance team. GTS has experienced people in place who respond in a timely fashion, and often with additionally useful insight.”



tim
Timothy Turner
MANAGING DIRECTOR, RIDGER CAPITAL

★★★★★

“My team and I are thoroughly pleased with GT Securities; they are knowledgeable, extremely responsive, easy to work with, and a great source of support in instances where we seek guidance. I would highly recommend their platform to anyone looking for these qualities in a BD partner.”









bob malandro
Bob Malandro
MANAGING PARTNER, WHITECAP SPORTS GROUP

★★★★★

“Over the years we have come to appreciate GT Securities’ constructive approach to supporting our ever-evolving business needs. Their responsiveness to urgent inquiries, thoughtful recommendations and hyper focus on compliance has allowed us to prioritize our time and energy on serving our clients and building our franchise. They have become true partners as a result and we would recommend them to anyone seeking a broker-dealer platform that has their clients’ best interests always front of mind.”
prath reddy
Prath Reddy
CFA, PRESIDENT, PERCENT, INC.

★★★★★

"My experience with GTS has been exceptional. GTS supports our team in managing complex transactions, provides support from other investment bankers specializing in different spaces (the referral program is first-rate!), provides a robust library of forms, and assists our team in meeting all of our compliance requirements on a timely manner. The platform is stable, simple to use, and run by business-minded professionals with steady hands."


farzad
Farzad Hoorizadeh
PRESIDENT, WHITE RIDGE CAPITAL

★★★★★

"GT Securities provides an array of services for boutique investment bankers. The GTS team is professional, terrific to work with and super responsive. GTS makes it easy to do business by providing the platform and resources to succeed. Highly recommend!"










dianne gubin
Dianne Gubin
PRINCIPAL, CAPITAL INVENTURES