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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 |
|---|---|---|---|
| NM | RA | APPROVED | 2023-03-13 |
| ID | RA | APPROVED | 2023-03-12 |
| IL | RA | APPROVED | 2023-03-12 |
| IN | RA | APPROVED | 2023-03-12 |
| MD | RA | APPROVED | 2023-03-12 |
| MI | RA | APPROVED | 2023-03-12 |
| MN | RA | APPROVED | 2023-03-12 |
| MO | RA | APPROVED | 2023-03-12 |
| NY | RA | APPROVED | 2023-03-12 |
| NC | RA | APPROVED | 2023-03-12 |
| VA | RA | APPROVED | 2023-03-12 |
| HI | RA | APPROVED | 2016-02-23 |
| CO | RA | APPROVED | 2014-06-20 |
| OR | RA | APPROVED | 2014-06-20 |
| TX | RA | APPROVED | 2014-06-20 |
| WA | RA | APPROVED | 2014-06-20 |
| AZ | RA | APPROVED | 2010-06-25 |
| CA | RA | APPROVED | 2010-06-09 |
| NV | RA | APPROVED | 2010-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compak Securities Inc | Newport Beach | CA | 04/2007 | Present |
| Compak Asset Management | Newport Beach | CA | 04/2007 | Present |
REGISTERED AS AN INVESTEMENT ADVISOR FOR COMPAK ASSET MANAGEMENT. REGISTERED AS A REGISTERED REPRESENTATIVE OF COMPAK SECURITIES, INC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-02 |
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