Patricia L. Mauck
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia L Mauck, who also goes by Patricia Lynn Mauck, Patty Mauck, Patricia Lynn Wolfe, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2000. Patricia had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2019 - April 7, 2021
CERITY PARTNERS OCIO LLC
June 25, 2018 - December 20, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 2018 - December 20, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 9, 2015 - June 13, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 9, 2015 - June 13, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 31, 2012 - October 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 31, 2012 - October 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2012 - July 16, 2012
WINEBRENNER CAPITAL MANAGEMENT LLC
November 11, 2005 - April 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2000 - April 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 17,346,720,716 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2025 | ||
| 05/04/2023 | ||
| 01/26/2023 |
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.
