Client Engagement Form for Natural Persons

Client Engagement Form for Natural Persons
Please Read Instructions
1. This form may be completed by the Client or by the Associated Person on behalf of the Client.
2. This form is for Clients that are natural persons. Clients transacting as legal entities should use the Client Information Form for Legal Entities located at https://www.rainmakersecurities.com/client-engagement-form-for-entity-persons.
3. You will be required to upload a photo-copy of a government issued photo identification to complete this form.
4. If you need help, please contact your Rainmaker Securities Agent to complete the form.
USA PATRIOT Act and SEC Regulations

Rainmaker Securities, LLC is a FINRA registered broker-dealer. Broker-dealers are required to collect certain personal information about all clients in order to comply with the USA Patriot Act to help prevent the financing of terrorism. We are also required by the SEC and FINRA to collect certain personal information to ensure we understand the financial circumstances and investment goals of our clients. We are also required by law to conduct an independent background investigation of every client.

Your Personal Information is Secure

The information entered in this form is protected by 256 bit SSL (Secure Socket Layer) connection that uses a SHA256 Certificate. This is the same level of protection used by online banking or e-commerce providers. Once submitted, the information is stored in cloud storage that is maintained with AES 256-bit encryption. Our emails are protected in transit by TLS (Transport Layer Security).

Your Personal Information is Private

Our full privacy policy is available here:

https://www.rainmakersecurities.com/privacy-policy
ACKNOWLEDGEMENT*

I confirm that I have read and understand the foregoing
Who is the Rainmaker Securities Agent that referred the Client to this form?*

First NameLast Name
Please enter the email of the referring Agent here to send an automatic notification to that Agent when the form is submitted. If no agent referred you to RMS, please enter ops@rainmakersecurities.com.*
If none, enter: ops@rainmakersecurities.com

Natural Person Client Identification
READ INSTRUCTIONS

Upload a government issued photo ID of the Client. If this cannot be obtained, upload a text narrative that documents the circumstances of the Client's refusal, neglect, or inability to provide the requested document. Note that if we cannot verify a Client's identity in some manner, we cannot legally transact with the Client.
Identity Verification Upload*

Browse Files

Cancelof
Name of Natural Person Client*

First NameLast Name
Address of Client*

Street Address

Street Address Line 2

CityState / Province

Postal / Zip CodeCountry
Client Phone Number

Area CodePhone Number
Client Email
example@example.com
Tax ID for U.S. Client or Government ID for non-US Client*
Date of Birth*

MonthDayYear
Date
Is the Client an associated person with a registered broker dealer or RIA? If so, please enter the person's CRD number.*

Client is not an associated personOther
If needed, explain any missing information or potential inconsistency here:
Natural Person Client Profile
NOTE

We are required to ask for the following information. Responses to the questions below are not required, but may help us provide better service to the Client.
Occupation
Name of Employer
or type NONE
Address of Employer

Street Address

Street Address Line 2

CityState / Province

Postal / Zip CodeCountry
Is the Client planning to permanently retire within the next five years?

YesNo
Net Worth Excluding Primary Residence (check all that apply)

over $500,000over $1,000,000over $5,000,000over $10,000,000over $25,000,000over $50,000,000over $100,000,000
Cumulative Amount of Investments (check all that apply)

over $500,000over $1,000,000over $5,000,000over $10,000,000over $25,000,000over $50,000,000over $100,000,000
Annual Income (check all that apply)

over $100,000 per yearover $250,000 per yearover $350,000 per yearover $1,000,000 per year
Investment Objectives (check all that apply)

generate incomeliquidate assetspreserve capitalgrowthaccumulate assets for heirsOther
Previous Investment Types (check all that apply)

Corporate BondsMunicipal BondsHedge FundsPublic EquityPrivate EquityOptions TradingAnnuitiesFutures/CommoditiesMutual FundsREITsEarly stage venture capitalLate-stage, Pre-IPO equity
Client's years of experience buying and selling securities
Client Sophistication (check all that apply)

Client has founded or managed a private companyClient has experience evaluating company financial statementsClient has the business acumen to evaluate the merits and risks of an investmentClient has owned a controlling interest in a private companyClient possesses a professional license (attorney, CPA, FINRA, etc.)Client consults with a professional adviser for financial decisionsClient is a member of a group or club that emphasizes private investments
Client has invested in private equity/debt securities within the past five years.

YesNo
Client can make investments with little to no need for liquidity in the foreseeable future.

YesNo
Client has the risk tolerance to invest in private securities and understands that certain private securities carry significant risk, including the risk of loss of the entire investment.

YesNo
The Client is capable of evaluating investment risks independently; and will exercise independent judgement in evaluating any recommendation.

YesNo
Attestation
Please confirm one of the following options . . .*

I attest that I am the Rainmaker Securities Agent indicated on this form or I have the authority to complete the form on behalf of the Rainmaker Securities Agent. I have a asked the Client to provide the information input into this form. I have completed this form truthfully and accurately, to the best of my knowledge.I attest that I am the Client indicated on this form or I have the authority to complete the form on behalf of the Client. I have completed this form truthfully and accurately, to the best of my knowledge. I have refused to provide any missing information.
Should be Empty:

Client Engagement Form for Natural Persons

Natural Person Client Identification

Natural Person Client Profile

Attestation