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JM

John Mccorvey Iii

CRD# 4532446·Registered 2002 - 2017
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Mccorvey III, who also goes by John Mccorvey III, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2002 - 2017. John had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Mccorvey Iii

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

21 years in the financial services industry

Current & Past Employments

RAINMAKER SECURITIES, LLC·CRD# 132995
BD
Coral Gables, FL
November 5, 2015 - September 1, 2017
GAR WOOD SECURITIES, LLC·CRD# 138033
BD
Atlanta, GA
January 3, 2011 - November 3, 2015
DIRECT ACCESS PARTNERS LLC·CRD# 120950
BD
New York, NY
July 30, 2010 - December 23, 2010
HYBRID INVESTMENT MANAGEMENT, LLC·CRD# 144360
RIA
Atlanta, GA
November 15, 2007 - June 25, 2008
SECOND STREET SECURITIES, INC.·CRD# 42404
BD
San Francisco, CA
October 17, 2003 - September 14, 2004
NEOVEST TRADING·CRD# 39798
BD
New York, NY
August 8, 2002 - August 8, 2003

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Current Firm

RS
RAINMAKER SECURITIES, LLC

RAINMAKER SECURITIES, LLC

CRD#: 132995 / SEC#: 8-66667
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

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

FINRA licenses (29 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAINMAKER GROUP HOLDINGS, LLCSOLE MEMBER—
ANDERSON, GLEN WAYNEPRESIDENT / CCO5030000
LALL, KIRAT SINGHMANAGING DIRECTOR - RESEARCH AND MARKETS6644470

Disclosures

Regulatory Event

4

Civil Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2011About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2007About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2010About the Series 7 exam

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CRS (Client Relationship Summary)

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

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