Notification of Privacy Statement Changes
Rainmaker Securities, LLC (RMS) may update this Privacy Policy to reflect changes to our information practices. We encourage you to periodically review this page in order to be aware of the latest information on RMS’s privacy practices.
Collection and Use of Personal Information
RMS collects and stores the following personal information in order to comply with applicable governmental and self-regulatory organization rules and regulations:
Contact Information such as name, phone number, email address, and address
Information such as your income, investment objectives, age, investment history, liquid assets, etc. in order to determine investment suitability pursuant to FINRA Rule 2111
Information about legal and financial status to verify that an investor is an “accredited investor” as required by Rule 501 of Regulation D promulgated under the Securities Act of 1933
Due diligence data and documentation provided by an entity seeking investment
Professional biographies obtained for due diligence and anti-money laundering purposes
Background information to help determine whether a person is disqualified for a transaction via the “Bad Actor” requirements of 506(d) of Regulation D promulgated under the Securities Act of 1933
Transaction history and documentation
As is true of most websites, the RMS website may automatically gather information about your computer such as your IP address, browser type, referring/exit pages, and operating system. Other pieces of visitor information may be collected on an aggregated or individual basis through the use of third-party website analytics services such as those provided by Google. The privacy and other terms of those third-parties will apply.
Information Sharing
RMS will deploy the same efforts to protect client information as it does to protect its own confidential information. RMS does not sell personal information of our clients to third parties. RMS does not share personal information about clients except as needed to complete securities transactions and comply with governmental and self-regulatory organization rules and regulations.
Absent consent, RMS may also disclose your personal information in the following manner:
In furtherance of facilitating a securities transaction requested by the client pursuant to the agent agreement with the client
As required by law such as to comply with a subpoena, administrative order or similar legal process
When we believe in good faith that disclosure is necessary to protect our rights, protect your safety or the safety of others, investigate fraud, or respond to a government request
If RMS is involved in a merger, acquisition, or sale of all or a portion of its assets, the information may be transferred to the new ownership group, which shall be held to the same privacy standards as RMS.
Cookies and Other Tracking Technologies
The website may use cookies, for example, to keep track of your preferences and profile information. Cookies are also used to collect general usage and volume statistical information that does not include personal information.
The website may use third-parties to place cookies on your computer to collect non-personally identifiable information to compile aggregated statistics for us about visitors to the Portal, including without limitation Google web services.
Links to Other Web Sites
The website includes links to other websites whose privacy practices may differ from those of RMS. If you submit personal information to any of those sites, your information is governed by their privacy statements. We encourage you to carefully read the privacy statement and terms of use of any website you visit.
Security
RMS follow generally accepted industry standards to protect the personal information submitted to us, both during transmission and once we receive it. No method of transmission over the Internet, or method of electronic storage, is 100% secure, therefore, we cannot guarantee its absolute security.
Data Retention
RMS retains your information to provide you with services and to comply with applicable law. You may request RMS to (i) dispose of; or (ii) cease and desist the use of, your information. At your request, we will immediately cease the use of your information and mark the information for disposal once RMS has fulfilled its legal and regulatory record retention requirements.