Katharine B. Cushing

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CRD#: 1270394

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Katharine Burrage Cushing, who also goes by Katharine Cushing Goss, Katharine Cushing Tilghman, was a registered financial professional .

Katharine is a previously registered financial professional and started their career in finance in 1984. Katharine had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katharine Cushing Goss | Katharine Cushing Tilghman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 12, 2017 - September 6, 2023

RAINMAKER SECURITIES, LLC

CRD#: 132995

CORAL GABLES, FL

Past

December 14, 2015 - December 31, 2016

WOOD (ARTHUR W.) COMPANY, INC.

CRD#: 3798

BOSTON, MA

Past

November 19, 2012 - December 17, 2013

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

NEW YORK, NY

Past

July 6, 2011 - September 19, 2012

MARWOOD GROUP

CRD#: 117015

NEW YORK, NY

Past

June 10, 2009 - December 23, 2009

DETWILER FENTON & CO.

RIA

CRD#: 1794

NEW YORK, NY

Past

June 5, 2009 - December 23, 2009

DETWILER FENTON & CO.

CRD#: 1794

NEW YORK, NY

Past

December 8, 2004 - April 7, 2009

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

December 8, 2004 - April 7, 2009

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

June 26, 2002 - March 6, 2006

WFS, LLC

CRD#: 116778

BOSTON, MA

Past

February 28, 2001 - June 13, 2007

WAINWRIGHT INVESTMENT COUNSEL LLC

RIA

CRD#: 108711

BOSTON, MA

Past

May 24, 1984 - August 22, 2002

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/8/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/10/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

RAINMAKER SECURITIES, LLC

CRD#: 132995 / SEC#: , 8-66667

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2000 Salzedo Street, #1218 Attn: Rainmaker Securities, Llc, Coral Gables, FL 33134

Mailing Address

382 Ne 191st St. #86647 #86647, Miami, FL 33179-3899

Phone number

(888) 333-1091

Established

Delaware since 03/09/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (29 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RAINMAKER GROUP HOLDINGS, LLC	SOLE MEMBER
ANDERSON, GLEN WAYNE	PRESIDENT	5030000
CIOFFI, DOMINIC CHARLES	CCO	6505600

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Katharine B. Cushing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WOOD (ARTHUR W.) COMPANY, INC.

DRIVEWEALTH INSTITUTIONAL LLC

MARWOOD GROUP

DETWILER FENTON & CO.

DETWILER FENTON & CO.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

WFS, LLC

WAINWRIGHT INVESTMENT COUNSEL LLC

H.C.WAINWRIGHT & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/1995

Series 63

Date: 7/3/1984

SIE

Date: 10/1/2018

Series 31

Date: 5/10/2002

Series 7

Date: 5/19/1984

Current Firm

RAINMAKER SECURITIES, LLC

Contact information

FINRA licenses (29 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RAINMAKER SECURITIES, LLC

TRUST BUT VERIFY

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