James W. Cravotta

EXECUTIVE SERVICES

Newport Beach, CA 92660

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CRD#: 3104460

Professional summary

James William Cravotta, who also goes by James W (jr) Cravotta, James William Cravotta Jr, is a registered financial advisor currently at EXECUTIVE SERVICES, LLC located in Newport Beach, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James W (jr) Cravotta | James William Cravotta Jr

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) - RIA

Click below to view James William Cravotta's 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

June 29, 2016 - Present

EXECUTIVE SERVICES, LLC

Office #1: 620 Newport Center Drive Suite 1100, Newport Beach, CA 92660

RIA

CRD#: 283898

Newport Beach, CA

Past

November 14, 2016 - December 24, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

E. COSTA MESA, CA

Past

June 29, 2015 - May 23, 2016

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Costa Mesa, CA

Past

June 26, 2015 - May 23, 2016

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Costa Mesa, CA

Past

August 3, 2013 - October 7, 2013

GIRARD SECURITIES, INC.

CRD#: 18697

COSTA MESA, CA

Past

March 20, 2012 - June 29, 2015

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

IRVINE, CA

Past

September 6, 2011 - June 26, 2015

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

IRVINE, CA

Past

June 1, 2009 - September 14, 2011

MORGAN STANLEY

RIA

CRD#: 149777

IRVINE, CA

Past

June 1, 2009 - September 14, 2011

MORGAN STANLEY

CRD#: 149777

IRVINE, CA

Past

August 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

IRVINE, CA

Past

August 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

IRVINE, CA

Past

December 17, 1998 - August 6, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

October 14, 1998 - August 6, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWPORT BEACH, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/29/2016)

IAR

Texas
(9/11/2017)

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

IAR

Series 66

Date: 11/12/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1998

General Securities Representative Examination

Current Firm

EXECUTIVE SERVICES, LLC

EXECUTIVE SERVICES, LLC | ORION INVESTMENTS, LLC | ORION INVESTMENTS

CRD#: 283898 / SEC#:

California

Registered Investment Advisory firm - (6/29/2016 Approved)

Texas

Registered Investment Advisory firm - (9/11/2017 Conditional Restricted)

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Contact information

Main Address

620 Newport Center Drive Suite 1100, Newport Beach, CA 92660

Mailing Address

Phone number

(855) 877-4976

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 28,941,865

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

James W. Cravotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Cravotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

GIRARD SECURITIES, INC.

CAPITAL MARKETS IQ, LLC

CONCERT WEALTH MANAGEMENT

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/7/1998

Current Firm

EXECUTIVE SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EXECUTIVE SERVICES, LLC

TRUST BUT VERIFY

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