Global Alliance Securities

What Global Alliance Securities does

Global Alliance Securities, LLC is a privately held FINRA-registered US broker-dealer (CRD# 167164, SEC# 8-69244) founded in 2010 and headquartered in Charleston, South Carolina. The firm operates as a multi-service intermediary centered on three pillars: (1) SEC Rule 15a-6 chaperoning services that enable non-US registered broker-dealers to access US institutional investors (those with $100M+ in assets, plus registered investment companies, banks, and insurance companies); (2) investment banking services for US small-to-mid-cap and international emerging market companies, including IPOs, secondary offerings, shelf offerings under Rule 415, private placements, and M&A advisory; and (3) EB-5 immigrant investor program facilitation, matching US companies with foreign capital sources pursuing US residency.

The firm runs on a traditional relationship-driven broker-dealer model with no proprietary technology platform. Its core asset is the regulatory authorization combined with the founding O'Shea team's 30+ years of chaperoning and cross-border transaction experience (prior tenures at Westminster Securities, Terra Nova, Monarch Capital). Revenue mechanics are professional services and transaction-fee based: chaperoning fees paid by foreign broker-dealers, advisory and underwriting fees on capital markets transactions, and placement/EB-5 structuring fees. GTM is enterprise field sales direct to non-US broker-dealers, US issuers, and emerging market companies.

The business is small and concentrated: 1-10 employees, no disclosed external funding, no parent company, and ownership concentrated in the founding O'Shea family. Only one named transaction appears in the public record (the 2017 disposition of Dataram Memory Corp. for U.S. Gold Corp.). Marketing is largely top-of-funnel, relying on Voice of America TV appearances, EB-5 conference speaking, and earned media rather than paid acquisition.

Name

Global Alliance Securities

Legal name

Global Alliance Securities, LLC

Website

https://globalalliancesecurities.com

Company type

Private

Founded year

2010

Operating status

Operating

Headcount range

1–10 employees

Short description

Global Alliance Securities is a privately held FINRA broker-dealer that provides SEC Rule 15a-6 chaperoning services to non-US broker-dealers, investment banking (IPOs, secondaries, M&A) to US small-mid and emerging market companies, and EB-5 capital facilitation for foreign investors.

Ownership category

akta.pro rank

Product category

Investment Banking & Brokerage

NAICS

Securities and Commodity Contracts Intermediation and Brokerage (5231), Investment Banking and Securities Intermediation (523150)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Equity Capital Markets Advisory (Equity Issuance Strategy & Readiness) (FSACAAAI)

akta.pro secondary industries

Cross-Border M&A Advisory (FSAEAGAH), Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL)

Keywords

• Broker-dealer services
• Investment banking
• SEC chaperoning
• Capital markets advisory
• Cross-border securities

Headquarters

HQ city

Charleston

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Others, Marketing or Sales

Revenue model

1. Investment Banking Advisory Fees: Fees earned for advising and structuring capital raising solutions for public and private corporate clients, including IPOs, secondary offerings, private placements, and M&A transactions.
2. 15a-6 Chaperoning Services: Fees charged to non-US broker-dealers for facilitating access to US institutional investors under SEC Rule 15a-6. Services include transaction execution, settlement solutions, custody, and customer communications compliance.
3. Equity Capital Markets: Underwriting and placement agent fees for equity offerings including IPOs, secondary offerings, split offerings, shelf offerings, and private placements for corporate clients.

Go-to-market motion2 records

Distribution channels3 records

Marketing channels3 records

Core offering

Global Alliance Securities is a FINRA-registered broker-dealer that specializes in SEC Rule 15a-6 chaperoning services, enabling non-US broker-dealers to conduct research on US-listed companies in compliance with US securities regulations. The firm also provides investment banking advisory services including IPOs, secondary offerings, M&A advisory, and EB-5 investment facilitation for cross-border transactions.

Product overview

Global Alliance Securities operates as a multi-service broker-dealer and investment banking firm offering a unified platform of financial services. The core offerings include 15a-6/Chaperoning Services (bridging foreign broker-dealers with U.S. institutional investors), Equity Capital Markets (IPOs, secondary offerings, private placements), Strategic Advisory and Merger & Acquisition advisory services, and EB-5 Job Creation Project investments. These services are designed to work together, with the chaperoning and investment banking divisions serving both public and private corporate clients in the U.S. and international emerging markets.

Differentiator

Problem solved

Functional benefit

Products and services

• SEC Rule 15a-6 Chaperoning Services
• Investment Banking Advisory (IPOs and Secondary Offerings)
• M&A Advisory

Named customers1 record

Segments4 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Two partnerships are on record, tiered minor and core.

• EB5 Investors MagazineminorGTM or Marketing PartnerGlobal Alliance Securities is listed in EB5 Investors Magazine's web-site service providers directory, providing visibility among EB-5 industry participants.
• Westminster Securities CorporationcoreStrategic or Co-development PartnerJohn P. O'Shea serves as Chairman and CEO of Westminster Securities Corporation while also co-founding Global Alliance Securities. He joined Westminster in 1987, was appointed to the Board in 1997, named President in 1998, and CEO in 2005. Over 25 years of global geographic presence was built through Westminster.

Scale indicators2 records

Recent moves6 records

Expansion highlights4 records

Direct peers

• Westminster Securities Corporation: Long-established US broker-dealer specializing in 15a-6 chaperoning and international sales trading. Shares leadership with GA — John P. O'Shea serves as CEO of Westminster while co-founding GA — and operates a closely overlapping client base in cross-border intermediation.
• Maxim Group: US full-service broker-dealer and investment bank focused on small-to-mid-cap and emerging-growth companies, offering ECM, M&A, and institutional sales/trading. Comparable in targeting the same small/mid-cap issuer segment as GA's investment banking line.
• Aegis Capital Corp. New York-based broker-dealer providing investment banking, equity research, sales and trading to small/mid-cap companies. Directly comparable to GA in ECM, private placement, and M&A advisory focus for emerging-growth issuers.
• Roth Capital Partners: Investment bank and broker-dealer focused on small/mid-cap companies with services spanning ECM, M&A, and institutional sales. Mirrors GA's small-to-mid-size company target segment across IPO, follow-on, and private placement mandates.
• EF Hutton: Broker-dealer providing investment banking, equity research, and institutional sales/trading with a focus on small/mid-cap companies. Directly comparable to GA in ECM and advisory work for emerging-growth issuers.
• Alexander Capital Group: New York-based broker-dealer offering investment banking, private placements, and institutional sales/trading to small/mid-cap companies. Comparable in scale and product mix to GA's ECM and M&A advisory practice.
• The Benchmark Company: Full-service broker-dealer and investment bank focused on small/mid-cap and emerging-growth companies, providing ECM, M&A, institutional sales, and research. Directly comparable to GA's small-cap IB platform.
• ThinkEquity: Broker-dealer offering investment banking, equity research, and institutional sales/trading to small/mid-cap and emerging-growth issuers. Comparable in ECM, private placement, and M&A advisory services for the same target segment.
• Wall Street Access: Smaller US broker-dealer offering institutional sales, trading, research, and investment banking services. Comparable to GA in cross-border and small-cap execution and intermediation services.

Broad incumbents

• B. Riley Financial: Diversified financial services firm with a substantial investment banking, brokerage, and capital markets platform serving small/mid-cap issuers. Overlaps with GA's ECM, M&A, and small-cap advisory franchises but at materially greater scale and product breadth.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat2 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/global-alliance-securities-llc

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Global Alliance Securities