Our regulatory disclosures and reference documents, consolidated in one place.
All of Global Alliance Securities' regulatory disclosures and reference documents, in one place.
Global Alliance Securities, LLC is a FINRA-regulated, SEC-registered broker-dealer (FINRA CRD# 167164 · SEC# 8-69244) and a member of FINRA and SIPC. We believe regulatory transparency builds institutional trust — the documents below govern our client relationships and are provided for institutional counterparties, regulators, and retail investors.
FINRA / SIPC membership, customer complaints, and our Customer Identification Program.
View disclosures →Verify the background of the firm and its registered professionals (CRD# 167164).
Verify on BrokerCheck ↗Client Relationship Summary for retail investors (PDF).
Open PDF ↗How we collect, use, protect, and share client information.
Read notice →How we respond to events that significantly disrupt our business.
Read plan →SEC Rule 15a-6 references and staff FAQ resources.
View resources →Securities offered through Global Alliance Securities, LLC, a registered broker-dealer and member of FINRA and SIPC. Rule 15a-6 affords certain exemptions from U.S. registration requirements to foreign broker-dealers utilizing the "chaperoning" services of properly registered U.S. securities firms. This website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security.