Tom Shugrue: President and Senior Principal
Tom joined Carolina Capital Markets in July 1999. He has over 30 years of experience as an institutional fixed
income salesman and sales manager. Tom entered the business in 1974 with Smith Barney in New York; he also worked
with Prudential Securities and Legg Mason. Tom was a Captain in the US Marine Corps and served a tour of duty in
the Republic of South Viet Nam. He graduated from Villanova University in 1969 and received an MBA from Georgia
State University in 1974.
Keith Mauney: Senior Partner
Keith has been a bond trader for over 30 years, starting at Smith Barney in 1974, then at Goldman Sachs, Bank of
America (NationsBank), and Wachovia. He was Head of High-Grade Corporate Bond Trading at each of those firms, and
head of the High-Grade Corporate Syndicate Department at Wachovia. He is a 1970 graduate of Princeton University,
where he received the Poe Cup for his achievements in football and an NCAA Post Graduate Scholarship. Keith was elected to the Silver Anniversary All-Ivy
Football team in 1981. He received his MBA in Finance from NYU in 1976.
Patrick Freeland: Chief Executive Officer
Prior to joining Carolina Capital Markets in August 2005, Patrick was a Vice President in First Clearing’s CCG
Risk Management division. Patrick oversaw risks associated with clearing for First Clearing’s 137 broker/dealer
correspondent firms. Patrick also held various managerial positions in operations and clearing at First Clearing,
AEFA and Piper Jaffray. Patrick is a graduate of the University of Nebraska - Lincoln majoring in Accounting.
Patrick holds FINRA Series 7, 63, 24, and 4 securities licenses.
John L. Landes: Municipal Securities Principal
John joined CCM in 2000. Prior to that he was with J. Lee Peeler & Co. and Morgan Keegan. He has Series 7, 63,
65, 24 and 53 securities licenses.
Steve Chaires: Principal/Partner and Senior Trader
Steve joined Carolina Capital Markets in June 2003. He is the national sales manager of
CCM and Head of Fixed Income Trading in Chapel Hill. He graduated from The University of
North Carolina at Chapel Hill majoring in Economics and Management.
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