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
- Have at least 10 years of Financial Industry Regulatory Authority (FINRA) licensing and experience in investment banking, mergers and acquisitions, as a registered investment advisor (RIA), institutional finance, selling securities, the financial industry, etc.
- Be capable of sourcing your own deals/clients and have experience in working with clients as an M&A advisor to advise clients on the process of how to sell their company
- Have deal execution experience and/or the ability/experience to manage execution resources as internal and external counterparts (i.e managing analysts/associates with strong financial modeling skills, understanding of investment objectives, evaluating business financial profiles, market, competitive environment, etc.)
- Have a clean compliance history and be able to easily pass a regulatory background check
- Have active FINRA registrations (or be within the two-year window) or have already passed (or are prepared to pass) the required FINRA Registered Representatives (RR) licensing/broker exams, including the Securities Industry Essentials (SIE) exam, the Series 7, 63, 79, and 82 exams, among others
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
Speed
An agile compliance platform that provides high speed, efficient turnaround on your mandates and deals.
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."
Best of Class Tools
Access to best-in class research & technology platforms and information databases - driving more efficient deal making.
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.
Industry Relationships
Access to our industry relationships, including law firms, deal diligence, and compliance and regulatory industry experts (developed over 20 years as a broker-dealer).
Branding Choices
Operate, market and sell under your own brand and/or under the GT Securities umbrella. On-demand meeting and conference room access and availability via WeWork and Regus.
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
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