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JS

Jack M. Stafford

RAINMAKER SECURITIES
New York, NY
Some features on this profile are disabled
CRD#: 7502600
JS

Professional summary

Jack M Stafford, who also goes by Jake M Stafford, 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 2022. Jack has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jake M Stafford

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 M Stafford'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

April 6, 2022 - Present

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
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: 5/2/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/5/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/4/2020
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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