Wayne Thomas Freeman

Employer firm

Dixon Financial Services CRD 107166

$1.09B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Dixon Financial Services

Lafayette, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	1997-07-08

CA RA
APPROVED

Since 1997-07-08

Branch Locations

Lafayette, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Dixon Financial Services Inc.	Lafayette	CA	12/1995	Present
Assante Capital Management	San Jose	CA	08/2001	Present

12/1995 → Present

Dixon Financial Services Inc.

Lafayette, CA
08/2001 → Present

Assante Capital Management

San Jose, CA

Other Businesses

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.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-12-09

S63 Uniform Securities Agent State Law Examination

1991-12-09

View on SEC IAPD