James W. Cravotta II, MBA, CRPC®, CRPS® CAREER HISTORY MANAGING DIRECTOR | DIRECTOR OF SECURITIES BASED LENDING | SENIOR PRIVATE WEALTH ADVISOR EXECUTIVE SERVICES, LLC FOUNDER & CEO CONCERT Wealth Management RIA |Capital Markets IQ 2011 - Present Provide financial planning, investment management and periodic reviews for HNW clientele. Migrate, Diversify, and protect $300MM+ book of business for predominately concentrated stock utilizing custom active covered-write and derivatives with clearly defined exit strategies. Responsible for expanding CONCERT’s Securities Based Lending platform. Improve and maintain lending rates through negotiation with 15 custodial banks and brokerages. Recruit, supervise, and develop a first class team of Private Wealth Advisors from diverse backgrounds and reputable firms. Improve and develop target markets with HNW Fortune 500 executives through Securities Based Lending. Expert Witness for multiple law firms. FIRST VICE PRESIDENT | SENIOR WEALTH ADVISOR | EXECUTIVE FINANCIAL SERVICES DIRECTOR Morgan Stanley Smith Barney, Irvine, California Utilized all aspects of financial planning and wealth management for client base. Supervised, managed, and groomed a six person UPS high net worth team from the ground up. Managed a $200MM book of business and achieved over a $1.2 MM in T12 revenue, and a 35% year over year growth. Achieved Top 50 in the firm for revenue growth and Top 50 in the firm for net new assets. Lead on Morgan Stanley’s United Parcel Service hypothecation loan program. Director’s Club, President’s Club, recipient of Morgan Stanley’s 2011 Medal of Honor Award. VICE PRESIDENT | CERTIFIED FINANCIAL MANAGER | SENIOR WEALTH MANAGEMENT ADVISOR Merrill Lynch, Pierce, Fenner, & Smith, Inc., Newport Beach, California Managed $125MM book of business and achieved $650K in T12 revenue. Built and managed a successful high net worth wealth management team. Utilized all aspects of financial planning and investment management. Toured the firm on speaking engagements on asset gathering techniques in 2003. Won firm approval to become a United Parcel Service team covering Nevada, California and Alaska. 2002, 2003, 2004 Mortgage Champion, Top 50 in the firm for mortgages. Achieved the 2000 Master’s Champion and was a member of the Director’s Club & President’s Club. 2007-2011 1998-2007 LICENSES, CREDENTIALS, EDUCATION, ORGANIZATIONS & HOBBIES Series 66, 7, Life, Health, and Variable Annuities - all current RIA’S ARE REGISTERED WITH THE SEC (50 STATES) Chartered Retirement Planning Counselor℠ (CRPC®), Chartered Retirement Plans Specialist℠ (CRPS®), Certified Financial Planner℠ (CFP®) – Successful completion of all modules M.B.A. in Business Administration with a Finance Emphasis, 1996 - 1998 Pepperdine University, California Post Graduate Studies in Global Enterprise Management, 1998 Oxford University at Kellogg, Oxford, UK B.S.B.A. in Business Administration with a Marketing Concentration, 1992 - 1998 | 2009 University of Arizona |University of Phoenix – Business Admin | University of Colorado - Financial Planning Organizations & Charities: Wheelchair Foundation, Life is Beautiful Charity, Pepperdine Alumni, Delta Chi Alumni, Indian Princess Guides, and Indian Guides. Lifetime Achievements: World ranked Numismatist, High School Track & Cross-Country, 2-time Most Valuable Runner (Trabuco Hills High School 88’)
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