Patsy R. Mandola

RETIREMENT PLANNERS OF AMERICA

Houston, TX 77056

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CRD#: 2508190

Professional summary

Patsy Ralph Mandola, who also goes by Pat R Mandola, is a registered financial advisor currently at RETIREMENT PLANNERS OF AMERICA located in Houston, Texas.

Patsy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Patsy has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat R Mandola

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.

INDEPENDENT INSURANCE AGENT FOR THE VARIOUS INDEPENDENT INSURANCE COMPANIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patsy Ralph Mandola'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®

None

Experience

Current

July 12, 2013 - Present

RETIREMENT PLANNERS OF AMERICA

Office #1: 1885 St. James Place, Suite 700, Houston, TX 77056

RIA

CRD#: 157222

Houston, TX

Past

April 3, 2012 - June 17, 2013

ORR FINANCIAL GROUP

RIA

CRD#: 115379

HOUSTON, TX

Past

February 20, 2007 - March 19, 2012

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

HOUSTON, TX

Past

February 20, 2007 - May 23, 2013

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

HOUSTON, TX

Past

July 18, 2006 - February 21, 2007

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

POUGHQUAG, NY

Past

July 5, 2006 - February 21, 2007

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

September 8, 2005 - December 12, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 1, 2005 - April 12, 2005

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

September 3, 2003 - December 2, 2004

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 11, 1998 - September 11, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 11, 1997 - March 11, 1998

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

October 16, 1995 - September 25, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 20, 1994 - November 9, 1995

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

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".

RETIREMENT PLANNERS OF AMERICA

MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA

Registered Investment Advisory firm - (4/4/2011 Approved)

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

Texas
(7/12/2013)

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: 3/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/19/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RETIREMENT PLANNERS OF AMERICA

MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA

Registered Investment Advisory firm - (4/4/2011 Approved)

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Contact information

Main Address

2820 Dallas Parkway, Plano, TX 75093

Mailing Address

Phone number

(469) 246-3600

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/28/2025)

ADV PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,760
AUM (Assets Under Management)	$ 3,975,227,271

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.

Contact information

xxxxx@xxxx.xxx

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Patsy R. Mandola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patsy Ralph Mandola's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORR FINANCIAL GROUP

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

OSAIC WEALTH, INC.

TOWER SQUARE SECURITIES, INC.

TD AMERITRADE, INC.

OSAIC WEALTH, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

OSAIC WEALTH, INC.

COREBRIDGE CAPITAL SERVICES, INC.

Primary Firm SEC Registration

RETIREMENT PLANNERS OF AMERICA

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/1999

Series 63

Date: 10/20/1994

Series 7

Date: 1/18/1996

Series 6

Date: 7/19/1994

Current Firm

RETIREMENT PLANNERS OF AMERICA

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNERS OF AMERICA

TRUST BUT VERIFY

Contact information

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