Patricia C. Mapel

CETERA INVESTMENT ADVISERS LLC

BROKEN ARROW, OK 74012

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CRD#: 5037978

Professional summary

Patricia Carmichael Mapel, who also goes by Patricia A Carmichael, Patricia Ann Carmichael, Patricia Carmichael, Trisch Ann Carmichael, Trisch Mapel, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Broken Arrow, Oklahoma and CETERA ADVISORS LLC located in Broken Arrow, Oklahoma.

Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Patricia has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patricia A Carmichael | Patricia Ann Carmichael | Patricia Carmichael | Trisch Ann Carmichael | Trisch Mapel

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. NAME OF OTHER BUSINESS: VINEYARD FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, INVESTMENT OVERSIGHT, MANAGE CLIENT PORTFOLIOS 2. NAME OF OTHER BUSINESS: RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: 10017 S HUDSON AVE TULSA, OK 74137 NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 09/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: WE OWN LAND AND RENT IT OUT TO A RANCHER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Carmichael Mapel'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

January 15, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3101 North Hemlock Circle Suite 130, Broken Arrow, OK 74012

RIA

CRD#: 105644

BROKEN ARROW, OK

Current

January 15, 2025 - Present

CETERA ADVISORS LLC

Office #1: 3101 North Hemlock Circle Suite 130, Broken Arrow, OK 74012

CRD#: 10299

Broken Arrow, OK

Past

August 18, 2020 - January 27, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

TULSA, OK

Past

August 18, 2020 - January 27, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Tulsa, OK

Past

November 1, 2017 - August 18, 2020

CETERA ADVISORS LLC

RIA

CRD#: 10299

TULSA, OK

Past

November 1, 2017 - August 18, 2020

CETERA ADVISORS LLC

CRD#: 10299

TULSA, OK

Past

March 29, 2017 - October 26, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TULSA, OK

Past

October 28, 2015 - October 26, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TULSA, OK

Past

April 11, 2013 - January 28, 2014

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

November 18, 2009 - June 30, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TULSA, OK

Past

March 12, 2009 - June 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TULSA, OK

Past

September 18, 2006 - February 25, 2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

February 7, 2006 - August 24, 2006

WAMU INVESTMENTS, INC.

CRD#: 599

ARVADA, CO

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/15/2025)

Colorado
(1/15/2025)

Oklahoma
(1/15/2025)

IAR

Oklahoma
(1/15/2025)

Pennsylvania
(1/15/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/2007

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: 6/2/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/6/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Patricia C. Mapel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Carmichael Mapel's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BOK FINANCIAL SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2016

Series 63

Date: 5/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2010

Series 6

Date: 2/6/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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