Walter Au
Professional Summary
Walter Au is a registered financial advisor currently at DIXON FINANCIAL SERVICES located in Lafayette, California. Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Walter has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
DIXON FINANCIAL SERVICES | DIXON FINANCIAL SERVICES INC
Contact Information
Main Address
Lafayette, CAPhone Number
(925) 283-3104# of Employees
4SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
335AUM (Assets Under Management)
$1,086,887,166Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DIXON FINANCIAL SERVICES | DIXON FINANCIAL SERVICES INC
State Registrations and Notice Filings
(9/10/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1994About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Walter Au's CRS (Customer Relationship Summary).
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