FINRA Registration

SUPPORT FOR YOUR INDEPENDENT BUSINESS

Our team and our technology provide customized support for your business without the burdensome bureaucracy of a large investment bank.

The Member Services team will guide you through the initial registration process, deal documentation and investor follow-up. Your transaction-related questions will be handled by a dedicated Supervisor with support from the full Compliance team.   OLIVIA, our virtual platform for supervisory procedures illuminates a clear path for getting business done. We take care of compliance so you can focus on closing deals.

SPONSORSHIP AND SUPPORT

GCS offers a platform for registering and supervising experienced private securities professionals with the following FINRA Registrations:

WHO NEEDS TO REGISTER WITH A BROKER DEALER?

Investment bankers, placement agents, and finders are likely to be required to register with a broker-dealer. This includes those who:

  • participate in the solicitation, negotiation, or execution of securities transactions
  • receive transaction-based compensation contingent on the value or success of securities transactions, or
  • transact investor funds or securities.

 

By obtaining appropriate registrations with a FINRA member firm, you may:

  • raise capital for issuers, including individual companies or funds
  • sell private offerings to institutional and accredited investors
  • offer investment banking services, for the sell side, buy side, or both
  • structure private deals
  • arrange trades of secondary stock
  • make referrals to and/or split commissions with registered broker-dealers, investment companies (including mutual funds and hedge funds) or other securities intermediaries
MEMBER QUALIFICATIONS

GCS partners with experienced investment bankers and other financial professionals who meet the following criteria:

  • Track record in getting deals done
  • Clear path to future revenue
  • Defined business focus
  • Unique deal flow
  • Broad network of institutional / qualified / accredited investors
  • Preference for working independently

Our top producers have been with us for many years. They stay because our platform was built by seasoned professionals who understand their business and are devoted to outstanding service.

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how can we help you?

Drop us an email through this link, or give us a ring at (415) 692-0050.  We'd be happy to hear from you!