James CravottaCRD Number: 3104460
Current Firm: Executive Services, LLC
James Cravotta (CRD# 3104460) is an Investment Advisor Representative working at Executive Services, LLC in Costa Mesa, CA and has over 18 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Jst Investment Consulting
Rs Crum Inc.
|Executive Services, LLC||Irvine, CA||Sep 2011 - Current||5|
|Independent Financial Group||Irvine, CA||Jun 2015 - May 2016||< 1|
|Capital Markets Iq, LLC||Irvine, CA||Mar 2012 - Jun 2015||3|
|Concert Wealth Capital Management, Inc.||San Jose, CA||Sep 2011 - Jun 2015||3|
|Girard Securities, Inc.||San Diego, CA||Jul 2013 - Oct 2013||< 1|
|Morgan Stanley Smith Barney||Irvine, CA||Jun 2009 - Sep 2011||2|
|Morgan Stanley & Company, Incorporated||Irvine, CA||Aug 2007 - Jun 2009||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Newport Beach, CA||Jul 1998 - Aug 2007||9|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
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