Broker-Dealer Placement Agent Sponsorship

Are you an independent, well-credentialed placement agent seeking a strong compliance platform and collaborative environment on and in which to transact deals?

GT Securities Offers Broker-Dealer Sponsorship Services To Independent Investment Bankers, Independent Placement Agents & Institutional Financiers

The Financial Industry Regulatory Authority (FINRA) Series 79 investment banker licensing 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 member and SIPC licensed broker-dealer, allowing you to spend more resources on what you do best.

broker-dealer sponsorship
FINRA broker-dealer sponsorship

GT Securities Placement Agent Requirements

In order to qualify as a GT Securities-registered Placement Agent, you must:

GT Securities will work with you to design a customized broker-dealer sponsorship that factors in your transaction types and frequencies, compliance requirements, existing overhead, and licensing requirements (FINRA Exams Series 7, 79, 62, 63, etc.).

In addition to a full-time team dedicated to your broker-dealer sponsorship, compliance, regulatory, and other broker-dealer needs, our broker-dealer sponsorship offers the benefits listed below.

Why Work With Us

Benefits of Working with GT Securities


An agile compliance platform that provides high speed, efficient turnaround on your mandates, closings and money.


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.


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.


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!”
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Matt McNeill


“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."

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Franck Brinkhaus


“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.”

james q
Jamie Gerard


“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


“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
Bob Malandro


“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
Prath Reddy


"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


"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!"

dianne gubin
Dianne Gubin

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