Client Engagement Form for Legal Entities

Client Engagement Form for Legal Entities
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 legal entities. Clients transacting as natural persons should use the Client Information Form for Natural Persons located here https://www.rainmakersecurities.com/client-engagement-form-for-natural-persons.
3. You will be required to upload identity verifcation documentation for both the Client entity and a Client entity control person.
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
OPTIONAL: You may 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, please enter ops@rainmakersecurities.com.*
If none, enter: ops@rainmakersecurities.com

Entity Client Identity Verification
READ INSTRUCTIONS

Below, upload a document that evidences the existence of the legal entity, including but not limited to:
- formation document
- business license
- bylaws, operating agreement, trust instrument,
- certificate of good standing
- Reliance Letter from another financial institution
- financial statements
If this cannot be obtained, upload a text narrative that documents the circumstances of the Client's refusal or neglect to provide the requested document.
Entity Client Identity Verification Upload*

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Name of Entity Client*
Principal Place of Business of Entity Client*

Street Address

Street Address Line 2

CityState / Province

Postal / Zip CodeCountry
Client Phone Number

Area CodePhone Number
Client Email
example@example.com
Entity Client US Tax ID or Non-US Government ID#*
OPTIONAL: Entity Contact Email
example@example.com
Control Person Identity Verification
READ INSTRUCTION

In this section, upload a government issued photo ID of the Control Person of the entity. A "Control Person" is a natural person exercising managerial control over the entity. If this cannot be obtained, upload a text narrative that documents the circumstances of the Control Person's refusal or inability to provide the requested document.
Entity Control Person Identity Verification Upload*

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Name of Entity Control Person*

First NameLast Name
Control Person US Tax ID or Non-US Government ID# *
Control Person Date of Birth*

MonthDayYear
Date
Control Person Address*

Street Address

Street Address Line 2

CityState / Province

Postal / Zip Code
If needed, explain any missing information or potential inconsistency here:
Beneficial Owner Information
READ INSTRUCTION

The Bank Secrecy Act's Customer Due Diligence Rule, which went into effect in May 2018, requires a broker-dealer to obtain certain identifying information about any benefcial owner with over 25% interest in an entity customer.

In the space below, please enter the following information for any person that owns over 25% interest in the entity, whether (i) directly; or (ii) indirectly, via the ownership of a beneficial interest in another entity or otherwise.
- Beneficial owner Name
- Beneficial owner Date of Birth
- Beneficial owner Tax ID number
- Benefcial owner Address
Then, for each beneficial owner listed, upload a government issued photo ID.If this cannot be obtained, upload a text narrative that documents the circumstances of the beneficial owner's refusal or inability to provide the requested document.

*Skip this step if there are no 25% beneficial owners or if the only beneficial owner is also the control person listed above.
Beneficial Owner Information
Beneficial Owner Identity Verification Upload

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

I attest that I am the Associated Person indicated on this form or I have the authority to complete the form on behalf of the Associated Person. 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.
Should be Empty:

Client Engagement Form for Legal Entities

Entity Client Identity Verification

Control Person Identity Verification

Beneficial Owner Information

Attestation