FINRA Interim Sponsorship

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, closings and money.

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.

Branding Choices

Operate, market and sell under your own brand and/or under GT Securities. On-demand meeting and conference room access via Regus and WeWork.

National and Global Footprint

Licensed in all 50 states. Access to global capital and deal flow via reciprocal / chaperone relationships and banker networks.

Registered Investment Advisor

For AUM fee streams, additionally IARD - licensed as an Registered Investment Advisor. Partnered with Charles Schwab as Funds Custodian and Amplify as Total Asset Management Platform (TAMP).

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.

Best in Class Tools

Access to best-in class research & technology platforms and information databases - driving more efficient deal making.

Industry Relationships

Access to our industry relationships, including law firms, deal diligence, and compliance and regulatory industry experts.

Access to Alternatives

Via our distribution and wholesale partnerships, access to best-in-class private equity and alternative investments, including Secondaries and Co-Investment, Alternative Credit, Real Estate, Structured Settlements and more.

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 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."

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.”

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.”

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

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

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 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!"