To our Canadian Customers:
The purpose of this page is to provide you with notice regarding the operations of Rainmaker Securities, LLC, a limited liability company registered in the State of Delaware (“Rainmaker”). Rainmaker is registered as a broker-dealer and member of the United States self-regulatory organization, FINRA. Rainmaker’s background and regulatory disclosures can be found on the FINRA website at https://brokercheck.finra.org/. FINRA is the United States analogue to Canada’s IIROC, which regulates broker-dealer business in Canada. Rainmaker is not registered as a dealer with IIROC. Rather, Rainmaker is operating in Canada under the International Dealer Exemption from registration. As a result, Rainmaker is required to provide you with notice of the following:
- Rainmaker is not registered as a dealer in Canada or any Canadian province.
- Rainmaker’s principal place of business is located at the St. Louis Branch Office (see side bar).
- All of Rainmaker’s assets are situated outside of Canada. Substantially all of Rainmaker’s assets are in the United States.
- Because of the foregoing, there may be difficulty enforcing legal rights against Rainmaker.
- If you have a legal claim against Rainmaker, its agents for service of process in the respective provinces are located at the following addresses:
- JE Corporate Services, Ltd., 1212-1175 Douglas Street, Victoria, British Columbia V8W 2E1
- CRAC, a division of ESC Corporate Services, Ltd., 500-4428 boul. St. Laurent, Montreal, Quebec H2W 1Z5.
- T.B Woods Canada Ltd., 3300, 421 - 7th Ave. S.W., Calgary, Alberta T2P-4K9
- ESC Corporate Services Ltd., 445 King Street West, 4th Floor, Toronto, Ontario M5V 1K4
Rainmaker Securities, LLC