Claude E. Gaither

COMPAK ASSET MANAGEMENT

Newport Beach, CA 92660

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CRD#: 1945251

Professional summary

Claude Edwin Gaither, who also goes by Ed Gaither, is a registered financial advisor currently at COMPAK ASSET MANAGEMENT located in Newport Beach, California and COMPAK SECURITIES, INC. located in Scottsdale, Arizona.

Claude is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Claude has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ed Gaither

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.

REGISTERED AS AN INVESTMENT ADVISOR WITH COMPAK ASSET MANAGEMENT. REGISTERED AS A REGISTERED REPRESENTATIVE WITH COMPAK SECURITIES, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claude Edwin Gaither's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 21, 2008 - Present

COMPAK ASSET MANAGEMENT

Office #1: 1801 Dove Street, Newport Beach, CA 92660

RIA

CRD#: 109930

Newport Beach, CA

Current

March 28, 2008 - Present

COMPAK SECURITIES, INC.

Office #1: 8865 E. Bell Road, Suite 201, Scottsdale, AZ 85251

CRD#: 125472

Scottsdale, AZ

Past

March 23, 2007 - November 23, 2007

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 5, 1989 - February 3, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPAK ASSET MANAGEMENT

CRD#: 109930 / SEC#: 801-58081

RIA

Registered Investment Advisory firm - (11/6/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/28/2008)

IAR

Arizona
(6/4/2008)

California
(3/28/2008)

IAR

California
(4/21/2008)

IAR

Colorado
(6/24/2014)

Colorado
(2/26/2016)

IAR

Hawaii
(3/17/2016)

IAR

Iowa
(3/20/2023)

IAR

Maryland
(3/8/2023)

IAR

Michigan
(3/10/2023)

Nevada
(7/6/2010)

IAR

Nevada
(6/25/2014)

IAR

New Mexico
(3/9/2023)

Oregon
(11/24/2008)

IAR

Oregon
(3/1/2016)

IAR

Texas
(6/25/2014)

Texas
(3/17/2016)

IAR

Virginia
(3/13/2023)

IAR

Washington
(6/20/2014)

Washington
(3/8/2023)

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

State Security Law Exam

IAR

Series 65

Date: 4/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/6/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 7/3/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/12/1993

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

COMPAK ASSET MANAGEMENT

CRD#: 109930 / SEC#: 801-58081

RIA

Registered Investment Advisory firm - (11/6/2000 Approved)

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Contact information

Main Address

1801 Dove Street, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 388-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPAK ASSET MANAGEMENT FORM ADV PART 2A 3-31-2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,264
AUM (Assets Under Management)	$ 1,258,603,087

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Claude E. Gaither

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claude Edwin Gaither's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPAK SECURITIES, INC.

QUEST CAPITAL STRATEGIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

COMPAK ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2008

Series 63

Date: 7/3/1989

SIE

Date: 10/1/2018

Series 3

Date: 10/6/2008

Series 6

Date: 7/3/1989

Series 26

Date: 5/12/1993

FINRA

Current Firm

COMPAK ASSET MANAGEMENT

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPAK ASSET MANAGEMENT

TRUST BUT VERIFY

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