John Baffa, financial advisor Newport Beach CA
93 score

John Baffa

CRD 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 17 years of experience in the finance industry.

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Company Name Location Dates Years
Compak Securities, Inc. Newport Beach, CA Aug 2003 - Current 13
Compak Asset Managment Newport Beach, CA Dec 2000 - Current 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1999
S65 NASAA Investment Advisors Law Examination Jan 2001
Contact Info for John W. Baffa
Phone Number: (800) 388-9700
Firm Website: http://www.compak.com
Registered State(s):
  • AZ
  • CA
  • NV
  • OR
  • TX
  • WA
  • HI
By the Numbers
  • Total Assets Under Management
    386
    MILLIONS
  • Total Number of Accounts
    2,606
    ACCOUNTS
  • Average Account Value
    $148,125
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Commissions
  • Other
Advisory Services Offered
  • 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
Types of Clients
Registered States

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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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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