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1801 Dove Street, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2023-03-13 |
| OH | RA | APPROVED | 2023-03-13 |
| IN | RA | APPROVED | 2023-03-12 |
| MD | RA | APPROVED | 2023-03-12 |
| MI | RA | APPROVED | 2023-03-12 |
| NY | RA | APPROVED | 2023-03-12 |
| VA | RA | APPROVED | 2023-03-12 |
| FL | RA | APPROVED | 2016-08-05 |
| HI | RA | APPROVED | 2016-02-23 |
| CO | RA | APPROVED | 2014-06-11 |
| TX | RA | APPROVED_RES | 2014-06-05 |
| WA | RA | APPROVED | 2014-05-29 |
| OR | RA | APPROVED | 2014-05-28 |
| AZ | RA | APPROVED | 2012-08-22 |
| NV | RA | APPROVED | 2012-07-23 |
| CA | RA | APPROVED | 2012-06-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compak Securities Inc | Newport Beach | CA | 09/2011 | Present |
| Compak Asset Management | Newport Beach | CA | 09/2011 | Present |
REGISTERED WITH COMPAK ASSET MANGEMENT AS IN INVESTMENT ADVISOR. REGISTERED WITH COMPAK SECURITIES AS AN REGISTERED REPESENTATIVE.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-01-23 |
| S65 | Uniform Investment Adviser Law Examination | 2003-06-28 |
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