FINRA & SIPC membership, customer complaints, and our Customer Identification Program.
Regulatory disclosures for Global Alliance Securities, LLC.
Global Alliance Securities, LLC ("GA") is a member of FINRA, the Financial Industry Regulatory Authority, Inc. The main FINRA telephone number is (301) 590-6500 and the website address is www.finra.org.
Global Alliance Securities, LLC is a member of the Securities Investor Protection Corporation ("SIPC"). The SIPC telephone number is (202) 371-8300 and the website address is www.sipc.org.
Any customer complaint with regard to an account can be directed to the Compliance Department, Global Alliance Securities, LLC, 2464 Darts Cove Way, Charleston (Mt. Pleasant), South Carolina 29466.
Important information you need to know about onboarding an account. To help the government fight the funding of terrorism and money-laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account.
We are required to collect the following information:
We may request additional identifying documents, such as principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, partnership agreement, or trust agreement. U.S. Department of the Treasury, SEC, FINRA, and New York Stock Exchange rules already require you to provide most of this information, and may require additional information.
GA may not be able to onboard the account or carry out transactions for your firm. If GA has already onboarded an account for your firm, we may have to close it. We thank you for your patience and hope you will support the financial industry’s efforts to deny terrorists and money launderers access to the United States financial system.
Please also review our Privacy Notice, Business Continuity Plan, and Form CRS. Check the background of this firm on FINRA's BrokerCheck.