M&A and Series 79 Sponsorship

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 and M&A Advisors. The FINRA Series 79 sponsorship 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 acquisitions,  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.).

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

Access to best of class, ready-to-use legal templates, along with research & technology platforms including PitchBook, CapitalIQ, IBISWorld, Hoovers & Statista, all driving more efficient dealmaking

Industry Relationships

Access to our industry relationships, including law firms, deal diligence, and compliance and regulatory experts (developed over 20 years as a broker-dealer)

Security

Coverage under GT Securities’ Errors and Omissions Insurance Policy

Cost Savings

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"

Deal Referring

Peer networking, collaboration, and thought leadership with some of the most successful investment bankers in the industry, 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 (including turnkey banker website development with transaction sharing), and/or under the GT Securities umbrella

Flexibility

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

Contact Us

Are you looking for M&A Sponsorship?

If so, please call us at 800-947-6978 or complete the form below and we’ll schedule a time to speak.