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1801 Dove Street, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-03-13 |
| ID | RA | APPROVED | 2023-03-09 |
| NY | RA | APPROVED | 2023-02-14 |
| OR | RA | APPROVED | 2016-02-25 |
| HI | RA | APPROVED | 2016-02-23 |
| NV | RA | APPROVED | 2014-06-25 |
| TX | RA | APPROVED_RES | 2014-06-25 |
| CO | RA | APPROVED | 2014-06-24 |
| WA | RA | APPROVED | 2014-06-20 |
| AZ | RA | APPROVED | 2009-06-01 |
| CA | RA | APPROVED | 2006-09-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compak Securities Inc | Newport Beach | CA | 09/2006 | Present |
| Compak Asset Management` | Newport Beach | CA | 09/2006 | Present |
REGISTERED AS AN INVESTMENT ADVISOR WITH COMPAK ASSET MANAGEMENT. REGISTERED AS A REGISTERED REPRESETNTAVIE WITH COMPAK SECURITIES, INC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-08 |
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