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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Walter Au's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2015 - Present
DIXON FINANCIAL SERVICES
September 7, 2001 - November 3, 2016
LORING WARD SECURITIES INC.
June 12, 2000 - July 16, 2001
FOOTHILL SECURITIES, INC.
January 1, 1999 - June 2, 2000
LORING WARD SECURITIES INC.
September 9, 1996 - January 1, 1999
REINHARDT WERBA BOWEN SECURITIES, INC.
January 3, 1995 - January 1, 1996
PFS INVESTMENTS INC.
Primary Firm SEC Registration
DIXON FINANCIAL SERVICES
CRD#: 107166 / SEC#: 801-40910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/10/2015)
Exams
Current Firm
DIXON FINANCIAL SERVICES
CRD#: 107166 / SEC#: 801-40910
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 318 |
| AUM (Assets Under Management) | $ 914,416,705 |
Red Flags
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