John Baffa is a registered investment advisor, based in Newport Beach, CA, with 42 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold.
Location
1801 Dove Street, Newport Beach, CA, 92660
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Regulatory History (2)
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Financial
February 2019Final
Financial
December 2017Final
Other Business Activities
John is registered as an investment advisor for Compak Asset Management and as a registered representative for Compak Securities, Inc.
Employment History
Current Registrations
Compak Securities, INC.Broker
November 2003 - Present · 22 yrs 11 mos
Compak Asset Management
March 2001 - Present · 25 yrs 7 mos
Previous Registrations
Triad Advisors, INC.Broker
February 2001 - April 2002 · 1 yr 2 mos
Pim Financial Services, INC.Broker
December 1998 - October 1999 · 10 mos
Nylife Distributors INC.Broker
January 1994 - October 1998 · 4 yrs 9 mos
Smith Barney Shearson INC.Broker
October 1984 - August 1993 · 8 yrs 10 mos
First Investors CorporationBroker
August 1982 - November 1984 · 2 yrs 3 mos
State Registrations12 states
AZCACOHIIDILMDNVOHORTXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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