GB Capital Markets. (“GB Capital”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is also a member of FINRA and SIPC. Brokerage and investment advisory services and fees differ, and it is important for the retail investor to understand the differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing. All recommendations regarding your brokerage investment will be made in a broker-dealer capacity.
We offer brokerage services by offering mergers and acquisitions, and private placements. We offer our services to accredited investors, qualified purchasers, and institutional investors. We do not offer a full range of securities but limit our investment recommendations to the products above. Our business is limited to making recommendations associated with private placements for accredited investors. GB Capital does not have any minimum investment requirements; however, some private placements have a minimum investment amount which can vary by issuer and placement. Investment minimums, if any, will be listed in the private placement memorandum (“PPM”) or similar offering documents. When we make a recommendation, you make the ultimate decision regarding the purchase or sale of investments. You may accept or reject any recommendation we make. It is your responsibility to monitor your brokerage investments, and we encourage you to do so regularly. We do not commit to providing on-going monitoring of your private placement investments. Additional information about our services is available in our Best Interest Disclosure Brochure.
When considering our services, ask your financial professional:
For brokerage services, you will pay transaction-based fees in connection with investing in a private placement. The applicable fees will vary from offering to offering. That said, there are management fees, organizational and operating expense reimbursement, and profit participation/carried interest fees. In venture capital and private equity offerings, there can be stock acquisition costs. Where these fees apply, the more transactions you enter, the more compensation that we and your financial professional receive. This compensation creates an incentive for us to encourage you to invest with us. You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. Additional information about our fees is available on our Best Interest Disclosure Document and in the PPM or similar offering document.
When considering our services, ask your financial professional:
When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you. Here are some examples to help you understand what this means. GB Capital primarily earns fees based on the amount invested. Therefore, we have a financial incentive to encourage you to invest in Private Placements we offer.
When considering our services, ask your financial professional:
Additional information about our conflicts of interest is available in our Best Interest Disclosure Brochure and in the PPM or similar offering document.
When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations, we provide you. The more transactions you enter, the more compensation that we and your financial professional receive. This compensation creates an incentive for us to encourage you to invest in private placements Private placement fees are based on a host of factors, including, but not limited to issuer and the type of offering participated in, size of your transaction and/or overall value of your investment, frequency of your private placement investments, and available discounts and/or fee waivers. Some GBCM Reps are independently employed by third-party or affiliated consulting firms. At times, some GBCM customers will also be clients of those third-party or affiliated consulting firms and Reps may concurrently serve as consultants and registered representatives to the same issuer. To mitigate any conflicts of interest, GBCM will supervise Reps and their recommendations for adherence to GBCM’s procedures as well as document these transactions to ensure one investment is not favored over another. You will pay fees whether you make or lose money on your investments. Fees may reduce any amount of money you make on your investments over time.
Yes, visit Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.
When considering our services, ask your financial professional:
Additional information, including our most recent Relationship Summary is available upon request by calling the Firm at 202.550.5676 to request up-to-date information and a copy of the Relationship Summary.
When considering our services, ask your financial professional:
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