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JR

Jack W. Richardson

RAINMAKER SECURITIES
New York, NY
Some features on this profile are disabled
CRD#: 5895680
JR

Professional summary

Jack William Richardson is a registered financial professional currently at RAINMAKER SECURITIES, LLC located in New York, New York.

Jack is registered as a RR (Registered Representative) and started their career in finance in 2019. Jack has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Jack William Richardson'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

May 20, 2020 - Present

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
New York, NY
Past

November 19, 2019 - May 11, 2020

EMERSON EQUITY LLC

RIA
CRD#: 130032
Sausalito, CA
Past

October 23, 2019 - May 11, 2020

EMERSON EQUITY LLC

BD
CRD#: 130032
Sausalito, CA

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
Arizona
(1/15/2021)
RR
California
(6/9/2020)
RR
Connecticut
(3/2/2021)
RR
Illinois
(9/16/2020)
RR
Nevada
(2/25/2021)
RR
New York
(1/3/2023)
RR
Texas
(4/27/2022)
RR
Washington
(12/1/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/23/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/24/2019
Securities Industry Essentials 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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