James E. Ratliff

INTERNATIONAL ASSETS ADVISORY

OWENS CROSS ROADS, AL 35763

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CRD#: 1669731

Professional summary

James Edward Ratliff, who also goes by Ed Ratliff, is a registered financial professional currently at INTERNATIONAL ASSETS ADVISORY, LLC located in Owens Cross Roads, Alabama.

James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Aliases

Ed Ratliff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Ratliff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 12, 2022 - Present

INTERNATIONAL ASSETS ADVISORY, LLC

Office #1: 6388-b Highway 431 S Suite 6, Owens Cross Roads, AL 35763

RIA

CRD#: 10645

OWENS CROSS ROADS, AL

Past

November 2, 2018 - July 14, 2022

OSAIC WEALTH, INC.

CRD#: 23131

Owens Cross roads, AL

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

Owens Cross roads, AL

Past

November 4, 2005 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

HUNTSVILLE, AL

Past

October 11, 1994 - October 11, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

July 29, 1994 - September 8, 1994

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

July 13, 1987 - June 2, 1994

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/18/2022)

Georgia
(8/18/2022)

Mississippi
(7/19/2022)

North Carolina
(8/5/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/10/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/30/1992

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Phone number

(407) 254-1500

Established

Florida since 07/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT, LLC	OWNER
COFRANCESCO, EDWARD RICHARD	CEO	2305035
HARRIS, KEVIN ANDRE	FINOP	7061906
LAMPMAN, MATTHEW EDWARD	PRESIDENT/CHIEF OPERATING OFFICER	6132493
MOORE, ANN KATHERINE	CHIEF BUSINESS DEVELOPMENT OFFICER	5535928
NICHOLSON, MYRA PEARLE	CHIEF LEGAL OFFICER, CHIEF RISK OFFICER	2740029
WEINBERGER, DAVID S	REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER	2676116
WEISS, RICHARD JAY	CHIEF COMPLIANCE OFFICER, CHIEF AML CCO	2523174

Disclosures

Regulatory Event	8
Arbitration	2

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James E. Ratliff

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edward Ratliff's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1987

SIE

Date: 10/1/2018

Series 6

Date: 7/10/1987

Series 26

Date: 3/30/1992

FINRA

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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