Rule 15a-6 & Chaperoning Services

Our Team

The Global Alliance team is a globally diverse group of financial professionals that provide depth of experience and expertise in establishing customized services to our clients. Through an integrated approach, our financial professionals continue to achieve a level of quality in performance that truly unites the business and financial demands of investors, broker-dealer and issuers.

Jennifer L. O’Shea *

Chief Executive Officer & President
jenoshea@gassec.com

Mrs. O’Shea is the President of Global Alliance Securities, LLC. Mrs. O’Shea previously worked at Terra Nova Capital Equities, Inc., Monarch Capital Group, LLC and Westminster Division of Hudson Securities (formerly Westminster Securities Corporation). She is instrumental in the areas of 15a-6 transactions (“Chaperoning”), investment banking due diligence, drafting engagement documents, legal issues relating to investment banking transactions/private transactions and cross-broader transactions.

Mrs. O’Shea graduated from Ball State University and holds a Juris Doctorate from The John Marshall Law School and studied at Trinity College [Dublin, Ireland] and Charles University [Prague, Czech Republic] in the areas of International Law and Transactions. She holds the Series 7, 63, 79, 99 and 24 securities licenses.

John P. O’Shea *

Executive Chairmanjoshea@gassec.com

Mr. O'Shea is the Chairman and Chief Executive Officer of Global Alliance Securities, LLC.

Mr. O’Shea began his career in 1982 as a trader and syndicate manager. During his 30 year career, Mr. O'Shea pursued a global geographic presence through Westminster Securities Corporation (“Westminster”). As Chief Executive Officer of Westminster, Mr. O’Shea expanded the firm’s business lines into investment banking, and while continuing to offer trading, settlement and brokerage services for clients in over 50 countries. He has continued to be an active investor in public and private debt and equity offerings in addition to assisting emerging growth companies in attaining public status and financing.

Via media interviews, congressional testimony and other avenues, Mr. O'Shea is a regular contributor to public discourse on a variety of subjects. Topics include the benefits of investing in small cap and emerging growth companies in the US and abroad, and the impact of changing US regulations. Mr. O'Shea's most notable domestic speaking engagements include testifying before the Securities and Exchange Commission (SEC) and the United States Congress regarding the impact of Sarbanes-Oxley regulation on US companies.

Mr. O’Shea graduated from the University of Cincinnati with a BA and MA in Economics. He holds the Series 7, 9, 10, 24, 55, 63, 79 and 99 securities licenses.

Arkadiy Neyman *

Executive Vice President, Chief Operation Officer and Chief Compliance Officer
aneyman@gassec.com

Mr. Arkadiy Neyman is an Executive Vice President, Chief Operation Officer and Chief Compliance Officer for Global Alliance Securities, LLC. Mr. Neyman began as Compliance Associate, and became Chief Compliance Officer during his work at Laidlaw Global Securities, Inc. in 1998. He then went on to worked as Director of Compliance at Leumi Investment Services, Inc. (Bank Leumi USA) in 2003 and later as Chief Compliance Officer at Westminster Securities Corporation in 2004 through 2009. In 2010, Mr. Neyman joined Monarch Capital Group, LLC. as Senior Vice-President focusing on “Chaperoning” services to foreign broker-dealers.

Mr. Neyman has more than 20 years of experience as a compliance and operations official with broker-dealers. During his career, Mr. Neyman has developed, set up and monitored supervisory and compliance procedures and policies, anti-money laundering systems, AML, CIP and KYC policies and procedures, and internal review and control systems. His areas of expertise include brokerage operations, compliance and supervision of trading, securities operations, “Chaperoning” services to foreign broker-dealers (Rule 15a-6), asset management, investment banking, regulatory examinations and audits.

Mr. Neyman graduated from Moscow Institute of Transportation Engineering and Frunze Polytechnic Institute [Moscow, Russia] with a Bachelor of Science in Engineering and completed graduate level course of study in Economics at the State Academy of Management [Moscow, Russia]. He also completed Phase I of the FINRA – Wharton (University of Pennsylvania) Certificate Program for compliance and regulatory professionals.
He holds the Series 4, 7, 14, 24, 27, 53, 55, 63, 65, 79 and 99 securities licenses and was the NYSE Allied Member (in 2006-2009).

Kurt Kammerer *

Vice President of Business Development
kkammerer@gassec.com

Mr. Kammerer started his Wall Street career as a runner in the mail room. In the last thirty years, Mr. Kammerer's experience include roles in equity trading (buy-side and sell-side), institutional sales, sell-side equity research specializing in healthcare services, investment banking transactions focused on healthcare and professional services companies IPOs, mutual fund marketing sales, and administration at firms including Brown Brothers Harriman & Co, Merrill Lynch, Advest Inc., C.E. Unterberg Towbin, and Nile Capital Management.

At Global Alliance Securities, Mr. Kammerer focuses on servicing Frontier and Emerging Market clients across Europe, Asia, Latin America, Africa and the Middle East.

Mr. Kammerer received a B.A. in Liberal Arts, cum laude, from Harvard University. He holds the Series 63, and 7 securities licenses.

Chris McCormick *

Vice President
cmccormick@gassec.com

Mr. McCormick began his Wall Street career on the Commodity Exchange (New York) in 1983. Mr. McCormick's experience include roles in listed derivative sales trading (buy-side and sell-side) in the global fixed income markets. While in New York, he executed both investment grade and hi-yield bonds. He worked in Sydney, Tokyo and New York focused on global macro fixed income clients. Mr. McCormick has worked for the following firms: McIntosh Securities, Credit Suisse, MF Global, Barclays Capital and JB Drax Honoré.

At Global Alliance Securities, Mr. McCormick focuses on servicing fixed income clients across Europe, Asia, Latin America, Africa and the Middle East.

Mr. McCormick graduated from University of Maryland with a B.S. in Finance. He holds the Series 3, 7 and 63 securities licenses.

* Check the background of these investment professionals on FINRA's BrokerCheck: