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Robert John Dreher

CRD# 1127085·Registered 1983 - 2013
Previously Registered: Being a previously registered professional could mean that Robert is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Robert John Dreher, who also goes by (jr) Robert John Dreher, Robert John Dreher (jr), was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1983 - 2013. Robert had worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

(jr) Robert John Dreher, Robert John Dreher (jr)

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

RELIANCE WORLDWIDE INVESTMENTS, LLC·CRD# 143546
BD
Gurnee, IL
July 3, 2012 - October 11, 2013
RWI WEALTH MANAGEMENT, LLC·CRD# 142975
RIA
Gurnee, IL
June 28, 2012 - October 11, 2013
HEFFERNAN INVESTMENT ADVISORS, INC.·CRD# 118369
RIA
San Francisco, CA
November 1, 2010 - December 13, 2011
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
San Francisco, CA
May 1, 2009 - July 1, 2010
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
San Francisco, CA
April 20, 2009 - July 1, 2010
MCCLURG CAPITAL CORPORATION·CRD# 16798
BD
San Rafael, CA
January 31, 1994 - November 22, 1995
SMITH BELLINGHAM INTERNATIONAL, INC.·CRD# 7734
BD
March 6, 1985 - July 9, 1992
MORGAN STANLEY DW INC.·CRD# 7556
BD
June 3, 1983 - January 18, 1985

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Current Firm

RW
RELIANCE WORLDWIDE INVESTMENTS, LLC

RELIANCE WORLDWIDE INVESTMENTS, LLC

CRD#: 143546 / SEC#: 8-67575
BD
Terminated by SEC on 06/24/2019

Contact Information

Established

Nevada since 12/01/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
THE ESTATE OF KENNETH E. SWEETNON-ASSOCIATED MEMBER—
STOUGH, LOUIS EDWARDCHIEF COMPLIANCE OFFICER1675992
SWEET, JANETEXECUTOR7085889

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2009About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 2009About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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