John BaffaCRD Number: 1063193
Current Firm: Compak Asset Management
John Baffa (CRD# 1063193) is an Investment Advisor Representative working at Compak Asset Management in Newport Beach, CA and has over 19 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Jst Investment Consulting
Rs Crum Inc.
|Compak Securities, Inc.||Newport Beach, CA||Aug 2003 - Current||14|
|Compak Asset Managment||Newport Beach, CA||Dec 2000 - Current||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1999|
|S65||NASAA Investment Advisors Law Examination||Jan 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Judgments / Liens
Total Assets Under Management417MILLIONS
Total Number of Accounts2,606ACCOUNTS
Average Account Value$160,166
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Educational seminars/workshops
AZ, CA, CO, FL, HI, IA, ID, IL, MD, MI, MN, MO, NC, NV, NY, OR, TN, TX, VA, WA, WI
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