Richard S. Petrell

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

Dewitt, NY 13214

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CRD#: 715635

Professional summary

Richard Steven Petrell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Prior to being barred, Richard has worked at 14 firms, which includes LEIGH BALDWIN & CO. LLC, SENTINEL FINANCIAL SERVICES COMPANY, PRINCIPAL FUNDS DISTRIBUTOR INC., METLIFE INVESTORS DISTRIBUTION COMPANY, ALLIANCEBERNSTEIN INVESTMENTS INC., STEPHENS, DAVIS DISTRIBUTORS LLC, A. G. EDWARDS & SONS INC., AFSG SECURITIES CORPORATION, FRANKLIN/TEMPLETON DISTRIBUTORS LLC, LEHMAN BROTHERS INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Petrell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Steven Petrell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 13, 2025 - Present

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

Office #1: 5784 Widewaters Parkway First Floor, Dewitt, NY 13214

RIA

CRD#: 143462

Dewitt, NY

Past

January 9, 2007 - April 3, 2008

LEIGH BALDWIN & CO., LLC

CRD#: 38751

SYRACUSE, NY

Past

January 11, 2006 - January 4, 2007

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

January 12, 2005 - November 29, 2005

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

December 11, 2004 - January 13, 2005

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

April 7, 2003 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

May 1, 2002 - April 25, 2003

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

February 20, 2002 - April 5, 2002

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

July 8, 1998 - December 31, 2001

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

TUCSON, AZ

Past

January 26, 1998 - May 29, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 20, 1997 - July 18, 1997

AFSG SECURITIES CORPORATION

CRD#: 18374

CEDAR RAPIDS, IA

Past

September 27, 1986 - January 30, 1997

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

January 23, 1984 - April 8, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 23, 1980 - January 20, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(11/13/2025)

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: 6/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative 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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Richard S. Petrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Steven Petrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

SENTINEL FINANCIAL SERVICES COMPANY

PRINCIPAL FUNDS DISTRIBUTOR, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

ALLIANCEBERNSTEIN INVESTMENTS, INC.

STEPHENS

DAVIS DISTRIBUTORS, LLC

A. G. EDWARDS & SONS, INC.

AFSG SECURITIES CORPORATION

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

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

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2021

Series 63

Date: 10/16/1980

Series 5

Date: 12/11/1982

Series 7

Date: 9/20/1980

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

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