John T. Mooney

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CRD#: 1736393

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.

John Thomas Mooney was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

November 18, 2021 - August 24, 2023

RAINMAKER SECURITIES, LLC

CRD#: 132995

CORAL GABLES, FL

Past

August 27, 2020 - October 7, 2022

SIENA GLOBAL SECURITIES, LLC

CRD#: 156467

OAKLAND, CA

Past

February 11, 2019 - July 1, 2019

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

San Francisco, CA

Past

April 11, 2018 - February 13, 2019

SIENA GLOBAL SECURITIES, LLC

CRD#: 156467

OAKLAND, CA

Past

April 20, 2017 - February 12, 2018

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

STAMFORD, CT

Past

May 3, 2016 - June 23, 2016

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

October 17, 2015 - April 19, 2016

FNEX CAPITAL, LLC

CRD#: 166316

INDIANAPOLIS, IN

Past

February 4, 2015 - October 8, 2015

DME SECURITIES, LLC

CRD#: 112584

NEW YORK, NY

Past

February 26, 2014 - January 2, 2015

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

January 4, 2010 - March 9, 2012

UBS SECURITIES LLC

CRD#: 7654

SAN FRANCISCO, CA

Past

October 19, 2009 - January 5, 2010

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

July 2, 2009 - October 20, 2009

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

SAN FRANCISCO, CA

Past

September 22, 1987 - April 25, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

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

Series 63

Date: 9/25/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/23/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

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

John T. Mooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIENA GLOBAL SECURITIES, LLC

PAULSON INVESTMENT COMPANY LLC

SIENA GLOBAL SECURITIES, LLC

WAYPOINT DIRECT INVESTMENTS, LLC

SOURCE CAPITAL GROUP, INC.

FNEX CAPITAL, LLC

DME SECURITIES, LLC

SOURCE CAPITAL GROUP, INC.

UBS SECURITIES LLC

MF GLOBAL INC.

GLEACHER & COMPANY SECURITIES, INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1987

SIE

Date: 10/1/2018

Series 3

Date: 9/23/1987

Series 7

Date: 9/19/1987

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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