GT Securities offers broker/dealer services to independent Investment Bankers, Independent Placement Agents and Institutional Financiers. The FINRA Series 79 investment banker exam 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:
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
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
Access to our industry relationships, including law firms, deal diligence, and compliance and regulatory experts (developed over 20 years as a broker-dealer)
Coverage under GT Securities’ Errors and Omissions Insurance Policy
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"
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.
Operate, market and sell under your own brand (including turnkey banker website development with transaction sharing), and/or under the GT Securities umbrella
A flexible broker/dealer relationship that can be terminated at your discretion
Are you looking for Placement Agent Sponsorship?
If so, please call us at 800-947-6978 or complete the form below and we’ll schedule a time to speak.