Series 7 Sponsorship

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.

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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

In order to qualify as a GT Securities Affiliate, you must:

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


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


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.


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!”
matt m
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."

frank b
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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