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-in class research & technology platforms and information databases - 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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