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DB

David M. Barnes

RAINMAKER SECURITIES
New York, NY
Some features on this profile are disabled
CRD#: 1559429
DB

Professional summary

David Moore Victor Barnes, who also goes by David Moore VIctor Barnes, is a registered financial professional currently at RAINMAKER SECURITIES, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Moore Victor Barnes

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) - BD

Click below to view David Moore Victor Barnes's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 10, 2025 - Present

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
New York, NY
Past

December 7, 2023 - May 7, 2024

PALM TREE SECURITIES LLC

BD
CRD#: 307831
Los Angeles, CA
Past

September 15, 2021 - August 9, 2023

MERIT SECURITIES, LLC

BD
CRD#: 165470
GIG HARBOR, WA
Past

June 12, 2017 - February 26, 2020

COWEN AND COMPANY

BD
CRD#: 7616
San Francisco, CA
Past

August 7, 2013 - July 17, 2017

JDF CAPITAL ADVISORS, LLC

BD
CRD#: 44760
DENVER, CO
Past

June 6, 2011 - September 14, 2012

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA
Past

February 28, 2000 - April 11, 2011

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
LOS ANGELES, CA
Past

December 24, 1996 - May 27, 1998

PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RAINMAKER SECURITIES, LLC
RAINMAKER SECURITIES, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAINMAKER GROUP HOLDINGS, LLCSOLE MEMBER
ANDERSON, GLEN WAYNEPRESIDENT5030000
CIOFFI, DOMINIC CHARLESCCO6505600

Disclosures

Regulatory Event4

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.

Company Information

RAINMAKER SECURITIES, LLC

CRD#: 132995New York, NY

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