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Account
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1801 Dove Street, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-03-08 |
| NY | RA | APPROVED | 2023-03-08 |
| MD | RA | APPROVED | 2023-01-17 |
| MI | RA | APPROVED | 2023-01-17 |
| HI | RA | APPROVED | 2016-02-23 |
| NV | RA | APPROVED | 2014-06-06 |
| CO | RA | APPROVED | 2014-05-28 |
| IL | RA | APPROVED | 2014-05-28 |
| MN | RA | APPROVED | 2014-05-28 |
| OR | RA | APPROVED | 2014-05-28 |
| VA | RA | APPROVED | 2014-05-28 |
| WA | RA | APPROVED | 2014-05-28 |
| CA | RA | APPROVED | 2004-11-10 |
| TX | RA | APPROVED_RES | 2004-11-10 |
| AZ | RA | APPROVED | 2002-12-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compak Asset Management | Newport Beach | CA | 07/2002 | Present |
| Compak Securities,Inc | Newport Beach | CA | 12/2002 | Present |
| University Of California Irvine | Irvine | CA | 07/2019 | Present |
REGISTERED AS AN INVESTMENT ADVISOR FOR COMPAK ASSET MANAGEMENT. REGISTERED AS AN REGISTERED REPRESENTATIVE FOR COMPAK SECURITIES, INC. University of California Irvine, NON-investment-related, Irvine California, teaching at UCI School of Business, Lecturer, July 2019, 20 hours/month, none during securities trading hours, teaching college courses.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-30 |
| S65 | Uniform Investment Adviser Law Examination | 2002-09-23 |
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