Jim Ratigan: Rockefeller Advisor Lands Investor Complaint

Doral, Florida financial advisor Jim Ratigan (CRD# 2164078) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Seabrook Partners and an investment advisor with Rockefeller Financial.

Mr. Ratigan’s BrokerCheck report discloses one investor complaint. Filed in December 2025, it alleges that as a representative of Rockefeller Financial, he made misrepresentations of material facts and failed to disclose outside business activities. The pending complaint alleges unspecified damages.

Investors should be aware that brokers like Mr. Ratigan are forbidden by securities industry rules and standard from misrepresenting material facts in connection with their investment recommendations. FINRA Rule 2020 specifically states that that no registered representative shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” For reference, material facts are pieces of information that could be considered essential to an investor’s decision regarding a product or strategy—for instance, an investor’s risk level or its liquidity. Brokers who misrepresent investments may be liable in the event of losses and/or subject to disciplinary action.

For reference, FINRA Rule 3270 prohibits advisors like Mr. Ratigan from engaging in unapproved outside business activities. “No registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm,” the rule states specifically, “unless he or she has provided prior written notice to the member, in such form as specified by the member.” Brokers who violate this rule may be subject to disciplinary action by their member firms or by securities industry regulators.

According to the Financial Industry Regulatory Authority, Jim Ratigan holds 27 years of securities industry experience. Based in Doral, Florida, he has been registered as a broker with Seabrook Partners since March 2026 and an investment advisor with Rockefeller Financial since 2021. His registration history includes SVB Leerink, Deutsche Bank Securities, and Merrill Lynch. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the General Securities Principal Examination, or Series 24; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7. He holds 53 state licenses. (Information current as of March 7, 2026.)

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