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Eric R. Dreisen
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CRD#: 2763103
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Professional summary
Being a previously registered professional could mean that this person 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.
Eric Ross Dreisen was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2001. Eric had worked at 6 firms and has passed the Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
1) Eric Dreisen is separately licensed as an independent insurance agent. In this capacity, he can effect transactions in insurance products for his clients and earn commissions for these activities. The fees you pay our firm for advisory services are separate and distinct from the commissions earned by Eric Dreisen for insurance related activities. This presents a conflict of interest because Eric Dreisen may have an incentive to recommend insurance products to you for the purpose of generating commissions rather than solely based on your needs. However, you are under no obligation, contractually or otherwise, to purchase insurance products through any person affiliated with our firm. 2) DREISEN CAPITAL LLC | ERIC DREISEN (100%), | HOURS PER MONTH 0 | NATURE OF BUSINESS : OTHER - WAS AN LLC I MADE YEARS AGO FOR A COMPNAY I WAS GOING TO START.... I THEN CLOSED IT AND RE-OPENED IT FOR PERPOSE OF GETTING DENTAL INSURANCE FOR MY FAMILY | START DATE: 10/1/2013 HIGHLINE | NEAL SIMON (OWNER), | HOURS PER MONTH 10 | NATURE OF BUSINESS : OTHER - MARKETING CONSULTANT | START DATE: 10/1/2013 8)HEALTHIEST YOU | JIM PRENDERGAST (FRIEND), | HOURS PER MONTH 5 | NATURE OF BUSINESS : OTHER - TELE- HEALTH- NOT INSURANCE | START DATE: 9/1/2014 12:00:00 AM +00:00Business Name: healthiest You Investment Related: No Address: 20909 N 90th Pl #105 scottsdale AZ 85255 Nature of Business: Insurance Position, Title or Relationship: consultant Start Date: 9/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: INTRODUCE THEM TO FRIENDSBusiness Name: FirstData Investment Related: No Address: 5565 Glenridge Connector NE #200 atlanta GA 30342 Nature of Business: Other Other/None of the Above referring business Position, Title or Relationship: consultanrt Start Date: 2/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: referring businessBusiness Name: Meltzer Group Investment Related: Yes Address: 6500 rock spring dr #500 bethesda MD 20817 Nature of Business: Insurance Position, Title or Relationship: consultant Start Date: 6/1/2006 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: referral sourceBusiness Name: Dreisen Capital LLC Investment Related: No Address: 12458 ansin circle drive potomac MD 20854 Nature of Business: Consulting Position, Title or Relationship: Owner Start Date: 6/1/1999 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: owner...not active todayBusiness Name: The Paragin Group, llc Investment Related: No Address: 6011 neilwood dr, rockville MD 20852 Nature of Business: Consulting; Insurance Position, Title or Relationship: partner Start Date: 4/1/2017 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: refer business to llc
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 2, 2025 - September 10, 2025
WEALTHSPIRE RETIREMENT ADVISORY
RIA
CRD#: 121254
ALISO VIEJO, CA
Past
April 3, 2017 - March 29, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BETHESDA, MD
Past
April 21, 2016 - August 15, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
BETHESDA, MD
Past
November 19, 2012 - May 11, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BETHESDA, MD
Past
November 29, 2011 - November 13, 2012
HIGHLINE WEALTH MANAGEMENT, LLC
RIA
CRD#: 142542
ROCKVILLE, MD
Past
August 27, 2010 - March 26, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BETHESDA, MD
Past
February 3, 2004 - February 27, 2004
THE GRISWOLD COMPANY, INCORPORATED
BD
CRD#: 32944
NEW YORK, NY
Past
December 13, 2001 - February 12, 2002
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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.
