Rule 15a-6 & Chaperoning Services

About Us

Global Alliance Securities, LLC (“Global Alliance”) unities the business and financial demands of investors, broker-dealer and issuers by providing highly-customized, flexible and cost-effective corporate finance solutions  to its clients.  As a Licensed Broker-Dealer, we meet the challenges of delivering specialized services to our clients by leaning on long and extensive experience of members of our team in cross-broader transactions, international settlement, 15a-6 services and investment banking.  By identifying the needs and requirements of our clients, we prepare a customized approach to each transaction.

Global Alliance arranges for growth companies to access capital from individual and institutional investors and providing the essential trading access to United States securities exchanges and over-the-counter markets for domestic and foreign investors. As part of our cross-broad services, we specialize in a set of services to non-US broker-dealers under the SEC Rule 15a-6 commonly referred to in financial industry as “chaperoning”. These services assist non-US broker-dealers to gain access to US institutional and major institutional investors.  Global Alliance professionals assist foreign securities firms to navigate complexities of complying with appropriate U.S. rules and regulations relevant to offering of foreign securities and investment services to U.S institutional investors. See SEC Rule 15a-6/Chaperoning Tab.

As part of Global Alliance Securities’ investment banking services, Global Alliance Securities originates EB-5 Direct Investments through participation in private securities offerings with U.S. companies by locating foreign investors who are seeking permanent US residency through EB-5 visa program by making capital investment into job-creating companies/projects.  Global Alliance Securities guides U.S. companies through funding projects, providing advice regarding corporate structure, business planning, and job creation analysis that help such companies and their business endeavors for  the EB-5 program.  Global Alliance Securities’ team introduces these U.S. companies to accredited foreign investors who are seeking such qualified investments for submission under the EB-5 program. Global Alliance is proud to provide these services benefiting our community by creating job opportunities within the United States. See EB-5 Tabs.

*Rule 15a-6 affords certain exemption from US registration requirements to foreign broker-dealers utilizing “chaperoning” services of properly registered US securities firms.Global Alliance Securities LLC. (“Global Alliance”) is a licensed broker-dealer and investment banking firm located at 100 Wall Street, New York, New York.

Specializing in the following areas:

15a-6/Chaperoning
Clearance Services
Private Placements
Reverse Mergers
Mergers and acquisitions
Divestitures
Sale Transactions
Restructurings