John William Baffa Jr
Professional Summary
John William Baffa JR, who also goes by John William Baffa, Jr John William Baffa, is a registered financial advisor currently at COMPAK ASSET MANAGEMENT located in Newport Beach, California and COMPAK SECURITIES, INC. located in Newport Beach, California. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. John has worked at 7 firms and has passed the Series 65, Series 63, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John William Baffa, Jr John William Baffa
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
COMPAK ASSET MANAGEMENT
Contact Information
Main Address
1801 Dove Street, Newport Beach, CA 92660Phone Number
(800) 388-9700# of Employees
20SEC notice filing (27 States and Territories)
Registered to provide investment advisory services in 27 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,939AUM (Assets Under Management)
$1,516,923,776Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
COMPAK ASSET MANAGEMENT
State Registrations and Notice Filings
(12/4/2002)
(4/10/2007)
(3/21/2001)
(11/21/2003)
(4/10/2007)
(3/13/2023)
(2/23/2016)
(3/13/2023)
(3/17/2023)
(3/13/2023)
(6/6/2014)
(3/15/2023)
(3/13/2023)
(4/10/2007)
(2/2/2015)
(6/5/2014)
(4/9/2015)
(5/30/2014)
(2/23/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1982About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view John William Baffa JR's CRS (Customer Relationship Summary).
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