Global Alliance Securities, LLC unites the business and financial demands of investors, broker-dealers, and issuers — delivering SEC Rule 15a-6 chaperoning, investment banking, and cross-border execution with the discretion institutions require.
Global Alliance Securities, LLC unites the business and financial demands of investors, broker-dealers, and issuers through highly customized, flexible, and cost-effective corporate finance solutions.
By drawing on decades of experience in cross-border transactions, international trading and settlement, 15a-6 services, and investment banking, our team identifies each client's needs and prepares a tailored approach to every transaction.
We navigate the complexities of U.S. rules and regulations so foreign securities firms can reach U.S. institutional investors with confidence.
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.
Alongside our flagship 15a-6 practice, Global Alliance advises and executes across the capital lifecycle — a one-stop partner for issuers, investors, and broker-dealers.
Compliant U.S. market access for foreign broker-dealers.
Learn more →Capital raising for public and private companies.
Learn more →Disciplined access to public equity markets.
Learn more →Structure, planning, and restructuring counsel.
Learn more →Buy-side and sell-side transaction guidance.
Learn more →Connecting foreign investors with U.S. projects.
Learn more →Long, extensive experience in international trading, settlement, and investment banking across multiple jurisdictions and market structures.
A licensed broker-dealer and member of FINRA and SIPC, operating with the compliance rigor that institutional counterparties demand.
Highly customized, flexible, and cost-effective corporate finance — a tailored approach prepared for each individual transaction.
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 →Whether you are a foreign broker-dealer seeking a 15a-6 chaperone or a company exploring capital options, our team is ready to design a tailored approach.
The Harbor, 2464 Darts Cove Way, Charleston (Mt. Pleasant), SC 29466 · Office: 212-878-6500 · Fax: 212-878-6597