SUPPORT FOR YOUR INDEPENDENT BUSINESS
Our team and our technology provide customized support for your business without the 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 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
- handle 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, either for the sell side or the buy side
- structure private deals
- arrange trades of secondary stock
- make referrals to or split commissions with registered broker-dealers, investment companies (including mutual funds and hedge funds) or other securities intermediaries
REGISTERED REP 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 with GCS because our platform was built by seasoned professionals who understand their business.