James Ratliff: Why Was Advisor Fired by International Assets Advisory?

Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former International Assets Advisory representative is currently registered as a broker with Supreme Alliance.

Mr. Ratliff’s BrokerCheck report discloses his termination from International Assets Advisory. Filed in September 2026, it states that the firm fired him in connection with allegations that he participated in an outside business activity without the firm’s approval and “knowing that the activity was previously denied and prohibited.”

Investors should be aware that FINRA Rule 3270 prohibits brokers like Mr. Ratliff from participating 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 stipulates, “unless he or she has provided prior written notice to the member, in such form as specified by the member.” Representatives who violate this rule may be subject to disciplinary action and/or held liable for damages.

According to the Financial Industry Regulatory Authority, James Ratliff holds 39 years of securities industry experience. Based in Centerville, Ohio, he has been registered as a broker with Supreme Alliance since 2026. His past registrations include International Assets Advisory, Royal Alliance Associates, Signator Investors, Transamerica Financial Advisors, ProEquities, Protective Equity Services, and First Investors Corporation. His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the Securities Industry Essentials Examination, or SIE; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; and the Uniform Securities Agent State Law Examination, or Series 63. He holds one state license. (Information current as of November 9, 2026.)

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