RainMaker Securities

Securities

Financial companies choose how they share your personal information. Federal law gives individuals the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. The types of personal information we collect and share depends on the nature of our relationship with you as our client. Rainmaker only discloses information to parties outside the firm in order to communicate with execution partners and comply with federal and state law. The information can include:

Investors

Income Employment and Residential Information
Social Security number
Net Worth
Investment Objectives
Goals & Risk Tolerance

Issuers

Financial and Operating History
Background information on firm principals
The nature of the desired securities transaction
The use of funds of the issuer

All information disclosed about issuers is constrained to that allowable in the context of the non-disclosure agreements with our clients, except where disclosure is required to comply with federal or state law. As such Rainmaker Securities, LLC, may share information about investors or issuers, beyond the period in which we are engaged with investors or issuers, in order to comply with federal or state law.

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Rainmaker Securities, LLC chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information	Does Rainmaker Securities, LLC share?	Can you limit this sharing?

For our everyday business purposes — such as to provide advice and process transactions.	Yes	No
For our marketing purposes — to offer our products and services to you	Yes	Yes
For joint marketing with other financial companies	No	We do not share
For our affiliates’ everyday business purposes— information about your transactions and experiences	No	We do not share
For our affiliates’ everyday business purposes— information about your credit worthiness	No	We do not share
For our affiliates to market to you	No	We do not share
For non-affiliates to market to you	No	We do not share


Please note: If you are a new customer, we do not share your personal information other than to provide services or as otherwise legally required. When you are no longer our customer, this policy continues to apply to you.
Sharing Practices

How often does Rainmaker Securities, LLC notify me about their practices?	We must notify you about our sharing practices when you become a client and each year while you are a client.
How does Rainmaker Securities, LLC protect my personal information?	To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does Rainmaker Securities, LLC collect my personal information?	We collect your personal information, for example, when you: Engage us as an issuer to provide advise or support a private placement transaction. Act as an investor in an offering for which Rainmaker Securities, LLC is the agent broker-dealer.
Why can’t I limit all sharing?	Federal law gives you the right to limit sharing only for: Affiliates’ everyday business purposes—information about your creditworthiness Affiliates to market to you Non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Definitions

Everyday business purposes	The actions necessary by financial companies to run their business, and manage customer accounts, such as providing investment advisory and financial planning advice, processing securities transactions, and otherwise providing financial services to you.
Affiliates and Partners	Our affiliates and partners include the following companies: Rainmaker Financial Group, LLC
Non-affiliates	Rainmaker Securities, LLC does not share information with non-affiliates for marketing purposes.
Joint marketing	Rainmaker Securities, LLC does not engage in joint marketing with non-affiliates.

If you want to limit our sharing

Contact Us	By Telephone: Please contact us at 630.437.5162 By Mail: mark your choices below, fill in and send form to: Rainmaker Securities, LLC 500 North Michigan Avenue, Suite 300 Chicago, IL 60611 Attn: Accounts