Patrick L. Mauney

MAUNEY-PITT FINANCIAL MANAGEMENT | Financial Advisor

SHELBY, NC 28150

CRD#: 2228216

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Professional summary

Patrick Lawrence Mauney, AIF® is a registered financial advisor currently at MAUNEY-PITT FINANCIAL MANAGEMENT, INC. located in Shelby, North Carolina.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Patrick has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Lawrence Mauney'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 31, 2026 - Present

MAUNEY-PITT FINANCIAL MANAGEMENT, INC.

Office #1: 310-2 East Graham Street, Shelby, NC 28150

RIA

CRD#: 337870

SHELBY, NC

Past

January 2, 2009 - April 2, 2026

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SHELBY, NC

Past

January 2, 2003 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SHELBY, NC

Past

November 22, 2002 - April 2, 2026

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SHELBY, NC

Past

December 31, 2001 - November 26, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GASTONIA, NC

Past

October 1, 2000 - November 26, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 28, 1993 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

February 24, 1993 - May 28, 1993

DOMINION INVESTMENT BANKING, INC.

CRD#: 17523

Past

September 10, 1992 - March 2, 1993

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

April 22, 1992 - July 2, 1992

F.N. WOLF & CO., INC.

CRD#: 13051

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

North Carolina
(3/31/2026)

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: 6/8/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/1992

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: 4/21/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/26/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/5/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

MAUNEY-PITT FINANCIAL MANAGEMENT, INC.

MAUNEY-PITT FINANCIAL MANAGEMENT LLC | MAUNEY-PITT FINANCIAL MANAGEMENT, INC.

CRD#: 337870 / SEC#: 801-134536

RIA

Registered Investment Advisory firm - (1/30/2026 120-Day Approval)

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Contact information

Main Address

310-2 East Graham Street, Shelby, NC 28150

Mailing Address

Phone number

(704) 481-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAUNEY-PITT FINANCIAL MANAGEMENT LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (11/12/2025)

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Patrick L. Mauney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Lawrence Mauney's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

DOMINION INVESTMENT BANKING, INC.

FIRST UNION BROKERAGE SERVICES, INC.

F.N. WOLF & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2000

Series 63

Date: 4/24/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1992

Series 10

Date: 7/26/2002

Series 9

Date: 3/5/2002

Current Firm

MAUNEY-PITT FINANCIAL MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MAUNEY-PITT FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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