Constance H. Hohreiter

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CRD#: 1139188

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.

Constance Haase Hohreiter, who also goes by Constance Leigh Haase, Connie Hohreiter, was a registered financial professional .

Constance is a previously registered financial professional and started their career in finance in 1983. Constance had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Constance Leigh Haase | Connie Hohreiter

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.

INVESTMENT ADVISOR REPRESENTATIVE WITH STRATEGIC WEALTH ADVISORS, INVESTMENT RELATED, APPROXIMATELY 120 HOURS PER MONTH.

Blog Corner

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®

None

Experience

Past

May 23, 2021 - August 21, 2024

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

RIA

CRD#: 143462

DEWITT, NY

Past

May 28, 2015 - December 15, 2023

REALTA EQUITIES, INC.

CRD#: 23769

Dewitt, NY

Past

January 4, 2011 - May 26, 2015

RIDGEWAY & CONGER, INC.

CRD#: 113055

SYRACUSE, NY

Past

June 29, 2000 - January 5, 2011

M&T SECURITIES, INC.

CRD#: 17358

JAMESVILLE, NY

Past

June 27, 1994 - April 7, 2000

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

May 5, 1992 - June 27, 1994

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

April 23, 1991 - April 29, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

June 21, 1983 - August 8, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS | STRATEGIC WEALTH ADVISORS | RS PETRELL & ASSOCIATES, LLC

CRD#: 143462 / SEC#: 801-70011

RIA

Registered Investment Advisory firm - (4/1/2009 Approved)

New York

Registered Investment Advisory firm - (4/30/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/1998

General Securities Principal Examination

Current Firm

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS | STRATEGIC WEALTH ADVISORS | RS PETRELL & ASSOCIATES, LLC

CRD#: 143462 / SEC#: 801-70011

RIA

Registered Investment Advisory firm - (4/1/2009 Approved)

New York

Registered Investment Advisory firm - (4/30/2015 Terminated)

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Contact information

Main Address

5784 Widewaters Parkway First Floor, Dewitt, NY 13214

Mailing Address

Phone number

(315) 218-7350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE RS PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS (2/5/2025)

Regulatory assets under management

Total Number of Accounts	444
AUM (Assets Under Management)	$ 146,704,435

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.

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Constance H. Hohreiter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA EQUITIES, INC.

RIDGEWAY & CONGER, INC.

M&T SECURITIES, INC.

HSBC BROKERAGE (USA) INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CAPITAL BROKERAGE CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2003

Series 63

Date: 6/23/1983

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1983

Series 24

Date: 6/26/1998

Current Firm

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS

TRUST BUT VERIFY

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