Rainmaker Securities, LLC - Form CRS (Customer Relationship Summary)
Date: June 29, 2026
Item 1: Introduction
Rainmaker Securities, LLC (“RMS”) is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). RMS is not an investment advisor. Brokerage and investment advisory services and fees differ, and it is important for the retail investor to understand the differences.
Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
Item 2: Relationships and Services
What investment services and advice can you provide me?
You may engage RMS to act as your agent to make referrals to buyers or sellers of private placement securities in the primary or secondary market. RMS does not hold any client funds or securities. Therefore, we have no discretionary authority over client transactions and provide no ongoing monitoring of client investments.
Conversation Starters: 1)How will you choose investments to recommend to me? 2) What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean? 3) Given my financial situation, should I choose a brokerage service? Why or why not?
Item 3: Fees, Costs, Conflicts, and Standard of Conduct
What fees will I pay?
If you are an engaged client, you will pay RMS a success fee upon the completion of a transaction, calculated pursuant to your contractual agreement. If you are not an engaged client, you will not owe RMS any fees.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
Conversation Starter: Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
What are your legal obligations to me when providing recommendations? How else does your firm make money and what conflicts of interest do you have?
RMS does not typically recommend securities transactions to its clients. If we do provide you a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations we provide you. Here are some examples to help you understand what this means:
Counterparty Payments: If you are not the engaged client, RMS is likely being paid by the counterparty, creating an incentive to facilitate the trade.
Affiliation Conflicts: An associated person of RMS making a recommendation may be a significant equity holder or part of the management team of the underlying issuer.
Conversation Starter: How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money?
RMS financial professionals are compensated via a portion of the cash success fees collected by RMS from transaction completions. Compensation may also occasionally be paid in the form of warrants to purchase securities.
Item 4: Disciplinary History
Do you or your financial professionals have legal or disciplinary history?
Yes. Visit Investor.gov/CRS for a free and simple search tool to research our firm and our financial professionals.
Conversation Starter: As a financial professional, do you have any disciplinary history? For what type of conduct?
Item 5: Additional Information
To request more information or a copy of this relationship summary, you may call 888-333-1091 or schedule a meeting at www.rainmakersecurities.com.
Conversation Starter: Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?