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JO

John F. Obrien

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CRD#: 2572066
JO

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 Francis Obrien, who also goes by Jack Francis Obrien, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1995. John had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack Francis Obrien

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

July 25, 2017 - November 1, 2019

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

May 15, 2014 - June 5, 2017

WOOD (ARTHUR W.) COMPANY, INC.

BD
CRD#: 3798
BOSTON, MA
Past

January 8, 2013 - December 2, 2013

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

January 13, 2012 - November 5, 2012

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

July 23, 2010 - December 9, 2011

LANE CAPITAL MARKETS LLC

BD
CRD#: 115358
FAIRFIELD, CT
Past

July 22, 2009 - July 27, 2010

SILVERCREST DISTRIBUTORS LLC

BD
CRD#: 139838
NEW YORK, NY
Past

September 26, 2006 - November 10, 2008

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

July 25, 2005 - October 17, 2006

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
NEW YORK, NY
Past

September 15, 2003 - August 10, 2005

LANE CAPITAL MARKETS LLC

BD
CRD#: 115358
FAIRFIELD, CT
Past

February 8, 2002 - October 15, 2003

PARK CAPITAL SECURITIES, LLC

BD
CRD#: 104206
NEW YORK, NY
Past

August 27, 1999 - September 4, 2001

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

February 24, 1998 - July 27, 1999

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

February 8, 1996 - September 24, 1997

METRIC FINANCIAL, LLC

BD
CRD#: 33324
ATLANTA, GA
Past

June 20, 1995 - December 5, 1995

H.C.WAINWRIGHT & CO., LLC

BD
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
RR
Series 63
Date: 10/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1995
General Securities Representative Examination

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#: 132995

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