Wayne T. Freeman

DIXON FINANCIAL SERVICES

LAFAYETTE, CA

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CRD#: 2179333

Professional summary

Wayne Thomas Freeman, CFP®, CIMA® is a registered financial advisor currently at DIXON FINANCIAL SERVICES located in Lafayette, California.

Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Wayne has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Estate Planning

Tax Planning

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

None

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 INVESTMENT ADVISOR FOR DIXON FINANCIAL SERVICES (REGISTERED INVESTMENT ADVISORY FIRM). LOCATION: 875 LAS TRAMPAS RD, LAFAYETTE, CA 94549. COMPENSATION BY SALARY AND PERCENTAGE OF REVENUE. EMPLOYED SINCE 1995. 100% OF EARNED INCOME COMES FROM THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Thomas Freeman'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®

CFP^®

Certified Financial Planner

Start date: 1998

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 8, 1997 - Present

DIXON FINANCIAL SERVICES

RIA

CRD#: 107166

LAFAYETTE, CA

Past

September 7, 2001 - November 3, 2016

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

April 3, 1996 - July 16, 2001

FOOTHILL SECURITIES, INC.

CRD#: 1027

SANTA CLARA, CA

Past

June 16, 1995 - January 30, 1996

REINHARDT WERBA BOWEN SECURITIES, INC.

CRD#: 34202

SAN JOSE, CA

Past

December 9, 1991 - June 8, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 9, 1991 - June 8, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

DIXON FINANCIAL SERVICES

DIXON FINANCIAL SERVICES | DIXON FINANCIAL SERVICES INC

CRD#: 107166 / SEC#: 801-40910

RIA

Registered Investment Advisory firm - (6/25/1992 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.

Highlighted states indicate IAR registrations

IAR

California
(7/8/1997)

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.

Exams

State Security Law Exam

Series 63

Date: 12/9/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/1991

General Securities Representative Examination

Current Firm

DIXON FINANCIAL SERVICES

DIXON FINANCIAL SERVICES | DIXON FINANCIAL SERVICES INC

CRD#: 107166 / SEC#: 801-40910

RIA

Registered Investment Advisory firm - (6/25/1992 Approved)

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Contact information

Main Address

Lafayette, CA

Mailing Address

Phone number

(925) 283-3104

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIXON FINANCIAL SERVICES, INC. ADV PART 2 BROCHURE (2/6/2025)

Regulatory assets under management

Total Number of Accounts	318
AUM (Assets Under Management)	$ 914,416,705

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Wayne T. Freeman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Thomas Freeman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LORING WARD SECURITIES INC.

FOOTHILL SECURITIES, INC.

REINHARDT WERBA BOWEN SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

DIXON FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/1991

SIE

Date: 11/3/2016

Series 7

Date: 12/6/1991

Current Firm

DIXON FINANCIAL SERVICES

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIXON FINANCIAL SERVICES

TRUST BUT VERIFY

Contact information

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