John W. Baffa
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, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John William Baffa JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2001 - Present
COMPAK ASSET MANAGEMENT
Office #1: 1801 Dove Street, Newport Beach, CA 92660Office #2: 1801 Dove Street, Newport Beach, CA 92660November 21, 2003 - Present
COMPAK SECURITIES, INC.
Office #1: 1801 Dove Street, Newport Beach, CA 92660February 8, 2001 - April 2, 2002
TRIAD ADVISORS LLC
December 22, 1998 - October 4, 1999
PIM FINANCIAL SERVICES, INC.
January 1, 1994 - October 15, 1998
NYLIFE DISTRIBUTORS LLC
October 17, 1984 - August 3, 1993
CITIGROUP GLOBAL MARKETS INC.
August 30, 1982 - November 13, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
COMPAK ASSET MANAGEMENT
CRD#: 109930 / SEC#: 801-58081
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
Exams
FINRA
Current Firm
COMPAK ASSET MANAGEMENT
CRD#: 109930 / SEC#: 801-58081
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,264 |
| AUM (Assets Under Management) | $ 1,258,603,087 |
Red Flags
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