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Compak Asset Management CRD 109930
$1.52B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1801 Dove Street, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| CO | RA | APPROVED | 2025-01-01 |
| NV | RA | APPROVED | 2025-01-01 |
| OR | RA | APPROVED | 2025-01-01 |
| NY | RA | APPROVED | 2023-03-13 |
| TX | RA | APPROVED_RES | 2023-03-13 |
| WA | RA | APPROVED | 2014-05-28 |
| AZ | RA | APPROVED | 2014-04-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compak Securities Inc. | Newport Beach | CA | 07/2010 | Present |
| Compak Asset Management | Newport Beach | CA | 07/2010 | Present |
REGISTERED WITH COMPAK ASSET MANAGEMENT AS AN INVESTMENT ADVISOR. REGISTERED WITH COMPAK SECURITIES AS A REGISTERED REPRESENTATIVE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-21 |
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