Patrick J. Mauro

PATRICK MAURO INVESTMENT ADVISOR

OAK BROOK, IL

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CRD#: 1130227

Professional summary

Patrick John Mauro, who also goes by Pat Mauro, is a registered financial advisor currently at PATRICK MAURO INVESTMENT ADVISOR, INC. located in Oak Brook, Illinois.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Patrick has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat Mauro

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 Patrick John Mauro'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

August 12, 1998 - Present

PATRICK MAURO INVESTMENT ADVISOR, INC.

RIA

CRD#: 122742

OAK BROOK, IL

Past

February 16, 2000 - September 4, 2001

PRIMEX

CRD#: 29394

NEW YORK, NY

Past

August 15, 1997 - February 27, 1998

MJK CLEARING, INC.

CRD#: 8678

MINNEAPOLIS, MN

Past

October 29, 1996 - September 29, 1997

PRIMEX

CRD#: 29394

NEW YORK, NY

Past

January 6, 1988 - April 19, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 30, 1986 - May 11, 1987

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

Past

July 1, 1983 - October 15, 1986

H. A. BRANDT & ASSOCIATES, INC

CRD#: 6575

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".

PATRICK MAURO INVESTMENT ADVISOR, INC.

PATRICK MAURO INVESTMENT ADVISOR, INC. | PATRICK MAURO INVESTMENT ADVISOR, INC., INC.

CRD#: 122742 / SEC#: 801-113346

RIA

Registered Investment Advisory firm - (5/31/2018 Approved)

Illinois

Registered Investment Advisory firm - (5/31/2018 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

Illinois
(8/12/1998)

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: 7/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 7/22/1988

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/1984

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/13/1984

Registered Options Principal Examination

Current Firm

PATRICK MAURO INVESTMENT ADVISOR, INC.

PATRICK MAURO INVESTMENT ADVISOR, INC. | PATRICK MAURO INVESTMENT ADVISOR, INC., INC.

CRD#: 122742 / SEC#: 801-113346

RIA

Registered Investment Advisory firm - (5/31/2018 Approved)

Illinois

Registered Investment Advisory firm - (5/31/2018 Terminated)

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Contact information

Main Address

Oak Brook, IL

Mailing Address

Phone number

(630) 789-3374

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

PATRICK MAURO INVESTMENT ADVISOR, INC. (2/27/2025)

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 196,247,505

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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Firm Stability Insights

Patrick J. Mauro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick John Mauro's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIMEX

MJK CLEARING, INC.

PRIMEX

MORGAN STANLEY DW INC.

FIRST OPTIONS OF CHICAGO, INC.

H. A. BRANDT & ASSOCIATES, INC

Primary Firm SEC Registration

PATRICK MAURO INVESTMENT ADVISOR, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/1996

Series 63

Date: 3/24/1988

Series 3

Date: 7/22/1988

Series 24

Date: 7/20/1984

Series 4

Date: 7/13/1984

Current Firm

PATRICK MAURO INVESTMENT ADVISOR, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATRICK MAURO INVESTMENT ADVISOR, INC.

TRUST BUT VERIFY

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