This certification is executed by the undersigned, a registered representative and/or associated person (“Undersigned”) of RainMaker Securities, LLC, a FINRA Registered broker-dealer (“RMS”).
Undersigned attests that they have received, read, and understand the purposes and provisions of the RMS Compliance Manual (“Manual”). Undersigned acknowledges that they have an affirmative duty to observe the procedures described in the Manual during the term of registration with RMS and agree to conduct themselves in such manner consistent with the Manual. Undersigned also understand that any violation of the provisions set out in the Manual may result in disciplinary action, including dismissal as well as civil and criminal liability, and that RMS may initiate or cooperate in proceedings resulting in such penalties.
Undersigned understands that any failure or delay by RMS in exercising any right, power, or privilege shall not operate as a waiver, nor shall any single or partial exercise of any right, power, or privilege preclude any other or further exercise.
Undersigned understands and agrees that the obligations of this certification shall survive termination of my employment by RMS.