Patrick Mauney has been Vice President, Financial Planner, and Chief Compliance Officer of Mauney-Pitt Financial Management since August 2025, is a control person of the firm and directly owns between 50% and 75% of it. Patrick Mauney holds a Bachelor of Science in Business Administration from Kenan-Flagler Business School, University of North Carolina.
Mauney-Pitt Financial Management, Inc. is a Shelby, NC firm with $418M under management, 705 clients and 3 advisers across 2 offices, as of its July 2026 filing.
Patrick Mauney is Financial Advisor and Co-Branch Manager / Partner of Mauney-Pitt Financial Management, based in Shelby, North Carolina. He has over 26 years in the financial services industry. Before co-founding Mauney-Pitt Financial Management, he was Vice-President and Branch Manager for Wachovia Securities in Charlotte, North Carolina. He has also taught financial planning and budgeting courses in the community.
Patrick Mauney’s longest registration was 17 years at Raymond James Financial Services Advisors, Inc (2009–2026). Before joining Mauney-Pitt Financial Management in 2026, Patrick Mauney was registered through Raymond James Financial Services Advisors, Inc and Raymond James Financial Services.
- – present · under a yearShelby, NC · Adviser representative · Firm CRD 337870
- Raymond James Financial Services Advisors, Inc– · 17 yearsShelby, NC · Adviser representative · Firm CRD 149018
- Raymond James Financial Services– · 6 yearsShelby, NC · Adviser representative · Firm CRD 6694
- Wachovia Securities, Inc.– · under a yearGastonia, NC · Adviser representative · Firm CRD 19616
Professional designations
Listed by Mauney-Pitt Financial Management
- Accredited Investment Fiduciary
Investment adviser representative registrations
Patrick Mauney is registered as an investment adviser representative in North Carolina, since March 2026.
- North CarolinaSince 31 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 26 July 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 5 March 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 June 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 April 1992 |
| Series 7 | General Securities Representative Examination | 21 April 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Patrick Lawrence Mauney
- CRD
- 2228216
- Firm
- Mauney-Pitt Financial Management · CRD 337870
- Role
- Vice President, Financial Planner, and Chief Compliance Officer
- Office
- 310-2 EAST GRAHAM STREET, Shelby, NC 28150
- Registration
- Investment adviser registration
- In the industry since
- June 1992
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mauney-pitt.com
Where does Patrick Mauney work?
Patrick Mauney has been Vice President, Financial Planner, and Chief Compliance Officer of Mauney-Pitt Financial Management, Inc. since August 2025, and is a control person of the firm.
Is Patrick Mauney a financial advisor?
Yes. Patrick Mauney has a current investment-adviser registration in North Carolina, through Mauney-Pitt Financial Management since March 2026.
How many years of experience does Patrick Mauney have?
Patrick Mauney has 34 years in the financial industry, since June 1992, across 4 adviser firms.
What exams has Patrick Mauney passed?
Patrick Mauney has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 9 and Series 10. The earliest, the Series 7, was passed in April 1992. FINRA credited Patrick Mauney with the SIE, which began in October 2018.
Where did Patrick Mauney work before Mauney-Pitt Financial Management?
Before Mauney-Pitt Financial Management, Patrick Mauney was registered through Raymond James Financial Services, January 2003 to January 2009; Wachovia Securities, Inc., December 2001 to November 2002.
Where is Patrick Mauney based?
Patrick Mauney’s registered office is in Shelby, NC.
Is Patrick Mauney registered with FINRA?
No. Patrick Mauney has no current broker registration.
How can I verify Patrick Mauney’s record?
Search CRD 2228216 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Patrick Mauney’s full registration record.