Learn about communications channels made available to our registered agents, communications disclaimers, and marketing materials approval.
Internal Rainmaker Email
Rainmaker Securities provides its registered representatives with access to FINRA compliant email through its domain @rainmakersecurities.com. There are several ways to access your email account:
- Online Outlook Client
- Enter your Microsoft credentials
- Click "Mail"
- Desktop Outlook Client
- Enter your user name and password
- Click "Install Office 365"
- Execute the installation file
- Find and execute the Outlook application on your computer
- When prompted, enter your Microsoft credentials
- Mobile Outlook Client
- On your phone, go to the your phones app store (e.g. Apple App Store or Google Play)
- Download the Outlook mobile application
- Find and open the Outlook application on your phone
- When prompted, enter your Microsoft credentials
External Email Monitored by Rainmaker
If you do not wish to use the Rainmaker Securities email domain, you may use an external email account. However, your account must be monitored to remain in compliance with FINRA regulations. We use a service called Global Relay, which will keep an archive of every email sent or received by the account. In order to use an external email account you must provide the following information, so we can setup email monitoring:
- The email address
- The email account password
- The email domain server host name or IP address
Email Signature Block Disclaimer
Whether using an internal or external email account, your email signature must include the following disclaimer:
"Securities offered through Rainmaker Securities, LLC – a registered broker- dealer, Member FINRA/SIPC. 11390 West Olympic Blvd., Suite 380 Los Angeles, California 90064. Investment opportunities listed with Rainmaker Securities, LLC involve a high degree of risk, and are only suitable for "accredited investors" as defined by the U.S. Securities and Exchange Commission. All investors are encouraged to seek legal and other professional counsel prior to making any investments.
DISCLAIMER: This message and any attachment(s) is intended solely for the use of the individual or entity to which it is addressed, and may contain information that is privileged, confidential and exempt from disclosure under applicable law. If the reader of this message is not the intended recipient, or the employee or agent responsible for delivering the message to the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. The information contained within this message is not an offer to purchase or solicitation to sell securities or any other financial instrument of any kind. Rainmaker Securities, LLC makes no representation or warranty regarding the correctness of any information contained herein. If you have received this communication in error, please delete it and notify us immediately."
Call Forwarding & voicemail
We use a VOIP service for call forwarding and voicemail functionality. You will be assigned an extension number in the following form:
- [extension number].
The extension number will forward calls from the Rainmaker Securities main line to the phone number of your choice. If a caller leaves a voicemail, the voicemail will be mailed to your designated email account as an attachment.
Conference Calling & Webinars
We primarily use a service called uberconference.com for our conference call line. Each representative has their own conference line. Uberconfernce can also be used to set up a webinar using its screen sharing function. To set up an uberconference call:
- Click "Sign Up"
- Click "Sign Up with Office 365"
- Enter your Microsoft credentials
- Dial the conference line number
- Enter the PIN number when prompted
- Once you have signed up, you can simply login to uberconference for subsequent uses
If you need an international dial-in for clients outside of the United States, please contact us to schedule the use of our international conference line.
The website homepage must include the following language with links:
- "Securities offered through Rainmaker Securities Member FINRA/SIPC. Check the background of this firm on FINRA's BrokerCheck."
A website that includes a profile of a registered person must include the following language with link:
- "Check the background of this investment professional on FINRA's BrokerCheck."
A website that does not relate to the offer or sale of securities does not need to include the foregoing language, however its existence must still be disclosed to Rainmaker Securities.
Standard or Non-Standard Cards
We can provide FINRA compliant Rainmaker Securities business cards free of charge. However, if you are conducting business under a different brand name, you must submit the card to the CCO for approval prior to use. A FINRA compliant business card contains the following information:
Address of branch office
"Securities offered through Rainmaker Securities, LLC. All other services/products are offered by [Insert Brand Name], which is not affiliated with Rainmaker Securities & is solely responsible for the products/services offered."
Rainmaker Securities must be displayed at least as prominently as the DBA name
Prohibited Designations: CSA, CFG, CSFP, SEPS, RIS
All communications used to market or advertise an offering of securities to investors must be submitted to the CCO Amy Boyet and approved prior to distribution. Advertising materials may be submitted for approval via the Client Operations page, found HERE.
Advertising Materials Disclosure
All advertising materials distributed to potential investors must contain the following disclosure:
This document does not represent an offer to sell or a solicitation of an offer to buy any security. Any such offer must be made pursuant to a private placement memorandum or other definitive legal documentation prepared by the company offering the securities (the “Offering Documents”), and the securities are only available in states in which the offering of the securities is registered or is exempt from registration and only by a broker/dealer authorized to do so. This document contains excerpts from the Offering Documents, and should be read in conjunction with the Offering Documents prior to making any investment decision. The securities offered in the Offering Documents (“Securities”) are offered through Rainmaker Securities, LLC – a registered broker dealer, Member FINRA/SIPC, 11390 West Olympic Blvd., Suite 380 Los Angeles, California 90064 (“RMS”). These Securities involve a high degree of risk, are speculative and involve a high degree of risk. The Securities have not been approved or disapproved by either the SEC or any state agency, nor has either the SEC or any state securities commission endorsed the accuracy or adequacy of the referenced Offering Documents. Any representation to the contrary is a criminal offense. An investment in these Securities should not be made by any person or entity that is not in a position to lose the entire amount of such investment, or one who needs liquidity of the investment. Only individuals and entities qualifying as “accredited investors” or “qualified institutional buyers”, as defined by the Securities Exchange Commission (“SEC”) are allowed to invest in these Securities. Potential investors in the company should carefully consider the risk factors contained in the Offering Documents to evaluate the company and its prospects before purchasing the Securities. This document and the referenced Offering Documents both contain forward-looking statements that are not historical facts, and are based on the company’s attempt to describe the outcome if it executes well on its business plan. They are not guarantees of future performance and are subject to risks and uncertainties beyond the company’s control or ability to predict. Potential investors are cautioned not to place undue reliance on these forward-looking statements, which reflect the company’s management’s view only, as of the date of this document and the referenced Offering Documents.
offering Document Disclaimer
THE SALE OF SECURITIES OFFERED HEREBY (I.E., THE “SECURITIES”) HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 (THE “SECURITIES ACT”) OR THE SECURITIES LAWS OF ANY STATE OR OTHER JURISDICTION AND ARE BEING OFFERED AND SOLD IN RELIANCE ON THE EXEMPTIONS FROM THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND SUCH LAWS. IN MAKING AN INVESTMENT DECISION INVESTORS MUST RELY ON THEIR OWN EXAMINATION OF THE COMPANY AND SECURITIES, INCLUDING THE MERITS AND RISKS INVOLVED. THE SECURITIES HAVE NOT BEEN RECOMMENDED BY ANY FEDERAL OR STATE SECURITIES COMMISSION OR REGULATORY AUTHORITY. FURTHERMORE, THE FOREGOING AUTHORITIES HAVE NOT REVIEWED THIS OFFERING MEMORANDUM AND HAVE NOT CONFIRMED THE ACCURACY OR DETERMINED THE ADEQUACY OF THIS MEMORANDUM. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. THESE SECURITIES MAY NOT BE TRANSFERRED OR RESOLD EXCEPT AS PERMITTED UNDER THE SECURITIES ACT OR SUCH LAWS PURSUANT TO REGISTRATION OR AN EXEMPTION THEREFROM. IN ADDITION, THESE SECURITIES ARE SUBJECT TO ADDITIONAL RESTRICTIONS ON TRANSFER PURSUANT TO THE TERMS OF THE SECURITIES INVESTMENT DOCUMENTS (THE “TRANSACTION DOCUMENTS”) A COPY OF WHICH HAVE BEEN PROVIDED ALONG WITH THIS MEMORANDUM.
THIS MEMORANDUM CONTAINS CONFIDENTIAL INFORMATION REGARDING THE COMPANY. BY ACCEPTING THIS MEMORANDUM THE RECIPIENT AGREES THAT RECIPIENT WILL, AND, IF APPLICABLE, WILL CAUSE ITS DIRECTORS, OFFICERS, EMPLOYEES AND REPRESENTATIVES TO, USE THE INFORMATION CONTAINED IN THIS MEMORANDUM ONLY TO EVALUATE THE SECURITIES AND FOR NO OTHER PURPOSE, TO NOT DIVULGE ANY SUCH INFORMATION TO ANY OTHER PARTY AND TO RETURN THIS MEMORANDUM TOGETHER WITH ANY COPIES THEREOF AND OF ANY RELATED DOCUMENTS TO THE COMPANY UPON THE COMPANY’S REQUEST.
THIS OFFERING IS SPECIFICALLY MADE SUBJECT TO THE TERMS DESCRIBED IN THIS MEMORANDUM. THE COMPANY RESERVES THE RIGHT TO REJECT ANY SUBSCRIPTION, IN WHOLE OR IN PART, FOR ANY REASON WHATSOEVER OR TO ALLOT TO ANY PROSPECTIVE INVESTOR LESS THAN THE NUMBER OF SECURITIES SUBSCRIBED FOR BY SUCH PROSPECTIVE INVESTOR. REJECTED SUBSCRIPTIONS WILL BE RETURNED TO THE SUBSCRIBER WITH THE AMOUNT OF THE REJECTED SUBSCRIPTION FUNDS.
THIS MEMORANDUM DESCRIBES THE COMPANY, ITS PROSPECTS, AND THIS OFFERING. PROSPECTIVE INVESTORS SHOULD CAREFULLY EVALUATE THE “RISK FACTORS” DESCRIBED IN THIS MEMORANDUM. PRIOR TO THE COMPLETION OF THE OFFERING, THE COMPANY WILL GIVE PROSPECTIVE INVESTORS THE OPPORTUNITY TO ASK QUESTIONS OF AND TO RECEIVE ANSWERS FROM THE MANAGEMENT OF THE COMPANY ABOUT THE TERMS AND CONDITIONS OF THE OFFERING, THE COMPANY OR ANY OTHER RELEVANT MATTERS, AND TO OBTAIN ANY ADDITIONAL INFORMATION OR DOCUMENTS TO THE EXTENT THE COMPANY POSSESSES SUCH INFORMATION OR CAN ACQUIRE IT WITHOUT UNREASONABLE EFFORT OR EXPENSE.
AN INVESTMENT IN THE SECURITIES INVOLVES A HIGH DEGREE OF RISK. NO TRADING MARKET FOR THE SECURITIES CURRENTLY EXISTS, AND IT IS ANTICIPATED THAT NO PUBLIC MARKET FOR THE SECURITIES WILL DEVELOP AND THAT THE SECURITIES WILL BE TRANSFERABLE ONLY UNDER CERTAIN LIMITED CIRCUMSTANCES. POTENTIAL INVESTORS SHOULD THOROUGHLY CONSIDER THE INFORMATION SET FORTH IN THIS MEMORANDUM INCLUDING, IN PARTICULAR, THE RISK FACTORS CONCERNING THE COMPANY AND ITS BUSINESS. THE PURCHASE OF THE SECURITIES OFFERED HEREBY IS SUITABLE ONLY FOR, AND MAY BE MADE ONLY BY, ACCREDITED INVESTORS WHO HAVE NO NEED FOR LIQUIDITY OF THEIR INVESTMENT AND UNDERSTAND AND CAN AFFORD THE HIGH FINANCIAL RISKS OF INVESTMENT IN THE SECURITIES.
THIS MEMORANDUM CONSTITUTES AN INVITATION TO INVEST ONLY TO THE PROSPECTIVE INVESTOR TO WHOM THIS MEMORANDUM IS INITIALLY DISTRIBUTED BY THE COMPANY AND WHO IS ELIGIBLE TO PURCHASE AND HOLD SECURITIES. THIS MEMORANDUM DOES NOT CONSTITUTE AN OFFER TO SELL OR A SOLICITATION OF AN OFFER TO BUY IN ANY JURISDICTION WHERE, OR TO ANY PERSON TO WHOM, IT IS UNLAWFUL. UNLESS OTHERWISE INDICATED, THIS MEMORANDUM SPEAKS AS OF THE DATE HEREOF. NEITHER THE DELIVERY OF THIS MEMORANDUM NOR ANY SALE MADE HEREUNDER SHALL, UNDER ANY CIRCUMSTANCES, CREATE ANY IMPLICATION THAT THERE HAS BEEN NO CHANGE IN THE AFFAIRS OF THE COMPANY OR ITS AFFILIATES (THE TERM “AFFILIATES” MEANS A PERSON THAT DIRECTLY, OR INDIRECTLY THROUGH ONE OR MORE INTERMEDIARIES, CONTROLS, OR IS CONTROLLED BY, OR IS UNDER COMMON CONTROL WITH, THE PERSON SPECIFIED) AFTER THE DATE HEREOF OR THAT THE INFORMATION CONTAINED HEREIN IS CORRECT AT ANYTIME SUBSEQUENT TO ITS DATE.
EACH PROSPECTIVE INVESTOR SHOULD CONSULT WITH ITS OWN ATTORNEY, ACCOUNTANT AND BUSINESS ADVISOR AS TO LEGAL, TAX AND RELATED MATTERS CONCERNING AN INVESTMENT IN THE COMPANY. PROSPECTIVE INVESTORS ARE URGED TO REQUEST ANY ADDITIONAL INFORMATION THEY MAY CONSIDER NECESSARY IN MAKING AN INFORMED INVESTMENT
THIS MEMORANDUM CONTAINS SUMMARIES BELIEVED TO BE ACCURATE CONCERNING CERTAIN DOCUMENTS, BUT REFERENCE IS HEREBY MADE TO THE ACTUAL DOCUMENTS (COPIES OF WHICH WILL BE MADE AVAILABLE TO PROSPECTIVE INVESTORS UPON REQUEST). ALL SUMMARIES OF DOCUMENTS HEREIN ARE QUALIFIED IN THEIR ENTIRETY BY REFERENCE TO THE TERMS OF THE ACTUAL DOCUMENTS.
THE SECURITIES OFFERED HEREIN INVOLVE A HIGH DEGREE OF RISK. CAREFULLY READ THE SECTION ENTITLED “RISK FACTORS”. INVESTORS MUST BE PREPARED TO LOSE THEIR ENTIRE INVESTMENT.
General and Forward Looking Information
Many of the statements contained in this Memorandum, including information incorporated by reference, discuss future expectations, or state other forward-looking information. All statements other than statements of historical fact in this Memorandum are “forward-looking statements” and include statements and assumptions relating to: plans and objectives for future operations or economic performance; conclusions and projections about the current or future medical device market; regulatory processes; economic trends and conditions; and projected financial results and results of operations. Those statements are subject to known and unknown risks, uncertainties and other factors, several of which are beyond the Company's control, which could cause the actual results to differ materially from those contemplated by the statements. Forward-looking statements include statements using forwarding-looking terminology such as “may,” “believe,” “will,” “expect,” “anticipate,” “plan,” “intend,” “estimate,” and “continue.” The forward-looking information is based on various factors and was derived using numerous assumptions. In light of the risks, assumptions, and uncertainties involved, there can be no assurance that the forward-looking information contained in this Memorandum will in fact transpire or prove to be accurate.
Standard Subscription Addendum
All subscription agreements signed by investors solicited by Rainmaker Securities agents must include a signed Standard Subscription Addendum, which includes essential, standard disclosures as well as a compensation and conflict of interest disclosure that must be completed by the representative.
The Standard Subscription Addendum can be found on the Client Operations page, HERE.