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’)

Continuing Education Credits Chart