Decades of combined experience in cross-border securities and 15a-6 chaperoning.
Our leadership team brings deep operational expertise and regulatory sophistication to every engagement — aligning the complex demands of institutional investors, foreign broker-dealers, and international issuers with precision and flawless execution.
Jennifer L. O’Shea serves as President, Chief Executive Officer, and AML Officer of Global Alliance Securities, LLC. Throughout her career in institutional finance — including prior roles at Terra Nova Capital Equities, Inc., Monarch Capital Group, LLC, and the Westminster Division of Hudson Securities (formerly Westminster Securities Corporation) — she has been instrumental in structuring complex cross-border transactions. Mrs. O’Shea specializes in the operational and regulatory design of SEC Rule 15a-6 chaperoning frameworks, seamlessly bridging investment banking, private placements, and international sales trading.
She earned her undergraduate degree from Ball State University and holds a Juris Doctorate from The John Marshall Law School, with legal studies concentrated in International Law and Transactions at Trinity College (Dublin, Ireland) and Charles University (Prague, Czech Republic).
John P. O’Shea is the Executive Chairman of Global Alliance Securities, LLC. Beginning his career in 1982 as an institutional trader and syndicate manager, Mr. O’Shea spent over three decades establishing a formidable global market presence. As the former Chief Executive Officer of Westminster Securities Corporation, he expanded the firm’s core business lines into international investment banking while scaling trading, settlement, and brokerage operations to serve institutional clients across more than 50 countries. He remains active in advisory services that guide emerging growth companies through financing and public listings.
A recognized voice in the financial services industry, Mr. O’Shea frequently contributes to public discourse on financial regulation and the economic vitality of small-cap and emerging growth companies. His domestic advocacy includes testifying before the United States Congress and the Securities and Exchange Commission on the expansion of SEC Rule 15a-6 to non-affiliated broker-dealers and the market impact of the Sarbanes-Oxley Act. In 2024, he earned the Certified Fraud Examiner (CFE) credential from the Association of Certified Fraud Examiners.
He graduated from the University of Cincinnati with both a BA and an MA in Economics.
For chaperoning inquiries, contact our team at operations@gassec.com or 212-878-6500.
Reach out to discuss 15a-6 chaperoning, investment banking, or institutional capital raising.
The Harbour, 2464 Darts Cove Way, Charleston (Mt. Pleasant), SC 29466 · Office: 212-878-6500 · Fax: 212-878-6597