GT Securities’ broker-dealer leadership and compliance team collectively has over 150 years of deal-making, research and securities industry experience – including FINRA, SEC, and state securities licensing, compliance and regulation.
Broker-Dealer Team
Jay Turo
Managing Partner
Dave Lavinsky
Managing Partner
Michelle Mueller
Chief Compliance Officer
Lisa Martin
Director of Partnerships
Victor Murphy
Compliance Operations Manager
Geoff Sokol
Private Wealth, Alternative Investments
Mimi Frey
Finance and Operations Manager
Marci Glasgow
Senior Research Analyst
Carl Castro
IT Manager
Compliance, Technology and Operations Partners
Dedicated resources at our best-of-class compliance and technology partners below enable our bankers to execute upon complex deals and transactions of almost every type.
Founded in 2002, we have successfully passed multiple regular cycle FINRA, SEC, and state securities examinations & audits and GT Securities has fully “clean” compliance record.
Fraud and Risk Detection
Compliance Management Platform
Cloud Compliance
Record Retention & Archiving
Secure Virtual Data Rooms
FINRA Compliance Advisory
Research and Intelligence Platforms
GT Securities' knowledge and understanding of - and selective access to - the world’s best research and intelligence platforms below drive efficient, client-focused advice and deal-making.
Crunchbase Pro
S&P Capital IQ
Pitchbook
Family Office Database
IBISWorld
D&B Hoovers
BizBuySell
Axial
Small Business Investor Alliance
Awards & Recognitions
2022 Honoree
Top Software M&A Advisor
Top Compliance Services Provider
Most Innovative FinTech Company
