Are you seeking to form your own and need a regulatory bridge until you receive Financial Industry Regulatory Authority (FINRA) broker-dealer approval? Working on behalf of an introducing broker-dealer (IBD) that lacks the bandwidth to take on additional FINRA registrations?
If you answered yes to either of these questions, then GT Securities’ interim sponsorship program is a time and cost-efficient solution that allows you to partner with an established broker-dealer and FINRA member firm as you go through the FINRA approval and FINRA exams process.
When you partner with us, we will:
- Act as your sponsoring firm / open a regulatory window for you to sit for and pass your FINRA exams – i.e. sponsor you for the Series 7 general securities representative exam, the Series 79 Investment Banking Representative Exam, the Series 63, 82, 24, 27, 28, among others
- Manage and process your require FINRA U4 disclosures, attestations, and continuing education requirements, including Rule 3210, AML, Email, and Social Media disclosure and archiving, fingerprinting, OBA disclosures per FINRA Rule 3270, PST disclosures per FINRA 3280, CE 101 / CE201, among others
- Upon approval of your FINRA member firm, expedite the transition to your newly formed broker-dealer
We have a long history of success in partnering with firms and sponsoring individuals through the FINRA approval process. We are committed to helping you achieve your goals and will work with you every step of the way.
In addition to a full-time team dedicated to regulatory compliance, our interim sponsorship program offers benefits including the below.
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
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