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1801 Dove Street, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-03-17 |
| CO | RA | APPROVED | 2023-03-13 |
| ID | RA | APPROVED | 2023-03-13 |
| MD | RA | APPROVED | 2023-03-13 |
| OH | RA | APPROVED | 2023-03-13 |
| HI | RA | APPROVED | 2016-02-23 |
| OR | RA | APPROVED | 2015-02-02 |
| NV | RA | APPROVED | 2014-06-06 |
| TX | RA | APPROVED_RES | 2014-06-05 |
| WA | RA | APPROVED | 2014-05-30 |
| AZ | RA | APPROVED | 2002-12-04 |
| CA | RA | APPROVED | 2001-03-21 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compak Asset Managment | Newport Beach | CA | 12/2000 | Present |
| Compak Securities, Inc. | Newport Beach | CA | 08/2003 | Present |
REGISTERED AS AN INVESTMENT ADVISOR FOR COMPAK ASSET MANAGEMENT. REGISTERED AS A REGISTERED REPRESENTATIVE FOR COMPAK SECURITIES, INC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-08 |
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