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Current Employers
Gt Investment Management, Llc

12130 Millennium Drive Suite 300, Los Angeles, CA 90094 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-16
NY RA APPROVED 2024-07-16
  • CA RA
    APPROVED
    Since 2024-07-16
  • NY RA
    APPROVED
    Since 2024-07-16

Branch Locations

Middle Village, NY • United States

12130 Millennium Drive Suite 300, Los Angeles, CA 90094 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sumitomo Mitsui Banking Corporation New York NY 08/2010 Present
Smbc Nikko Securities America, Inc. New York NY 08/2018 Present
Gt Securities, Inc. Los Angeles CA 03/2024 Present
Gt Investment Management Los Angeles CA 07/2024 Present
  • 08/2010 → Present
    Sumitomo Mitsui Banking Corporation
    New York, NY
  • 08/2018 → Present
    Smbc Nikko Securities America, Inc.
    New York, NY
  • 03/2024 → Present
    Gt Securities, Inc.
    Los Angeles, CA
  • 07/2024 → Present
    Gt Investment Management
    Los Angeles, CA
Other Businesses

Referral partner/introducer for C6 Capital, LLC, a commercial loan referral business located in New York, NY 10017. Responsible for introducing potential commercial borrowers to C6 Capital for direct lending review, with no involvement in securities offerings, investor solicitation, note placement, fund/SPV interests, or capital raising. Not an employee, officer, director, owner, or manager of C6 Capital. Activity commenced June 1, 2026. Devotes approximately 2 hours per month, with 1 hour during securities trading hours. Duties are limited to making introductions; compensation, if any, is contingent on closed commercial loans. Non-investment related activity. Single Member of Willspire Capital LLC, a personal holding company at 6243 81st ST, Middle Village, NY 11379, used for managing personal investments and conducting personal business activities, including nonprofit board involvement and general consulting. No securities-related activities are conducted outside of GT Securities. Activity commenced June 6, 2023. Devotes approximately 1 hour per month, with effectively 0 hours during securities trading hours. Duties include administrative oversight, basic bookkeeping, maintaining corporate records, and supporting nonprofit and consulting activities. Investment related activity. Manager of Trust Science Investment Partners LLC, located at 30 N Gould St Ste R, Sheridan, Wyoming 82801. The LLC pools personal capital with family and friends to make a passive investment in a private company. Activity commenced August 18, 2025. Devotes less than 1 hour per month, with less than 1 hour during securities trading hours. Duties are limited to basic administrative tasks such as signing agreements and reviewing wire details. Investment related activity. Board Member of Give A Hand, a non-profit organization operating as Hands for Prosperity at 2137 Herndon Ave. Clovis, CA 93611. Responsible for attending board meetings and deciding on important organizational matters including budgets, activities, fundraising, and performance tracking. Activity commenced July 24, 2024. Devotes approximately 8 hours per month, with 0 hours during securities trading hours. Non-investment related activity. Micro Lending Consultant for Positiviti Lending, located at 2137 Herndon Ave Suite 104 Clovis, CA 93611, which operates a peer-to-peer micro-lending platform providing capital to entrepreneurs and small business owners in Kenya. Responsible for promoting the micro loan program to potential lenders (investors) and facilitating their participation. Compensation (commission) is received through Willspire Capital LLC. Activity commenced July 1, 2023. Devotes approximately 20 hours per month, with 1 hour during securities trading hours. Investment related activity. Partner/Consultant for Kingsdel Real Estate, located at 535 Flatbush Ave Ste 313, Brooklyn NY 11225, which develops and sells condominiums, raises funds for development through private debt and equity, and provides financial advisory services to lenders on real estate projects. Responsible for developing project materials, managing the company website, supporting real estate development, fundraising from investors, and providing financial advisory services to lenders. Compensation is received through Willspire Capital LLC. Activity commenced June 5, 2023. Devotes approximately 63 hours per month, with 2 hours during securities trading hours. Investment related activity.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-13
S63 Uniform Securities Agent State Law Examination 2019-02-01
  • S65 Uniform Investment Adviser Law Examination
    2024-05-13
  • S63 Uniform Securities Agent State Law Examination
    2019-02-01

View on SEC IAPD

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