Walter Au

Current Employers

Dixon Financial Services

Lafayette, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-10-06

CA RA
APPROVED

Since 2025-10-06

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	06/2000	Present
Assante Capital Management Inc.	San Jose	CA	08/2001	Present

06/2000 → Present

Dixon Financial Services, Inc.

Lafayette, CA
08/2001 → Present

Assante Capital Management Inc.

San Jose, CA

Other Businesses

PERFORMS DUTIES FOR DIXON FINANCIAL SERVICES, A REGISTERED INVESTMENT ADVISOR. DUTIES MUST BE LIMITED IN SCOPE AS HE IS NOT CURRENTLY REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-12-30

S63 Uniform Securities Agent State Law Examination

1994-12-30