Global Alliance Securities, LLC is a FINRA-regulated, SEC-registered broker-dealer providing SEC Rule 15a-6 chaperoning services and related institutional access services to foreign broker-dealers.
Chaperoning is the core of what we do — and the reason most non-U.S. firms come to Global Alliance.
We bridge the gap between foreign registered broker-dealers and U.S.-based institutional investors. With more than 30 years of experience, our team helps non-U.S. firms navigate the complexities of U.S. compliance and reach major institutional investors.
Our flagship SEC Rule 15a-6 chaperoning practice is complemented by investment banking and strategic advisory for corporate clients.
Compliant U.S. institutional access for foreign registered broker-dealers, effected by GA under SEC Rule 15a-6.
Learn more →Capital raising, equity capital markets, private placements, and strategic and M&A advisory for corporate clients.
Learn more →We believe regulatory transparency builds institutional trust. Review our disclosures, verify our registration, and access the documents that govern our client relationships — all in one place.
Verify the background of the firm and its professionals.
Verify firm →Client Relationship Summary for retail investors.
Open PDF →Our plan for maintaining service through disruption.
Read plan →How we protect and handle client information.
Review notice →If your firm is a non-U.S. registered broker-dealer seeking compliant access to permitted U.S. institutional investors under SEC Rule 15a-6, our team is ready to help.
The Harbour, 2464 Darts Cove Way, Charleston (Mt. Pleasant), SC 29466 · Office: 212-878-6500 · Fax: 212-878-6597