GT Securities provides a strong compliance platform and collaborative environment on and in which to transact deals for independent, well-credentialed investment bankers.
GT Securities Offers Broker-Dealer Services To Independent Investment Bankers and M&A Advisors
Passing The Financial Industry Regulatory Authority (FINRA) Series 7 examination qualifies you as a General Securities Representative (GS), licensing you to perform a wide range of roles in the financial services sector. Specifically, you can:
- Buy and sell nearly all types of securities, including stocks, bonds, and mutual funds.
- Offer options contracts and engage in options trading
- Sell municipal securities, rights, and warrants.
- Work with direct participation programs like limited partnerships.
- Provide financial planning and portfolio management services
GT Securities’ Series 7 Sponsorship Program offers qualified individuals the opportunity to work under GT Securities as licensed General Securities professionals.
Our Series 7 Sponsorship and Investment Banking Professional platform offer qualified individuals the opportunity to work under GT Securities as licensed investment banking professionals.
How To Get Sponsored For Series 7
As you may know, a Series 7 sponsor like GT Securities can supervise banking professionals who hold a Series 7 license.
We can serve as your series 7 Sponsor and often provide series 7 exam sponsorship. Our process is fairly simple and requires, among other things, completing FINRA’s Form U4 (Uniform Application for Securities Industry Registration or Transfer).
This form requests detailed information about you, including personal information, examinations requested (e.g., Series 7), professional designations held, residential addresses for the past five years, employment history for the past ten years, and other business activities, like outside employment or business interests.
Contact GT Securities today to discuss getting sponsored for your series 7.
GT Securities Affiliate Requirements
Additionally, our Series 7 sponsorship program fit can be an excellent adjunct fit for financial advisors, investment advisers, business broker / real estate sales, private equity, venture capital, hedge funds and mutual funds professionals with adjacent self-regulatory organization and security industry/broker registration interested in adding an agency M&A and private placement component to their business model via a sponsor relationship with a licensed broker-dealer.
In addition to a full-time team with extensive knowledge of and dedicated to your regulatory compliance and corporate securities needs, our sponsorship program and process offer the benefits listed below.
Why Work With Us
Benefits of Working with GT Securities
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