Deidre M. Mraz

MRAZ AND ASSOCIATES

Modesto, CA 95354

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CRD#: 5215952

Professional summary

Deidre Michelle Mraz, who also goes by Deidre Mraz Johnson, is a registered financial advisor currently at MRAZ AND ASSOCIATES located in Modesto, California.

Deidre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Deidre has worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Deidre Mraz Johnson

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 Deidre Michelle Mraz'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

October 24, 2011 - Present

MRAZ AND ASSOCIATES

Office #1: 1120 13th Street Suite C, Modesto, CA 95354

RIA

CRD#: 158338

Modesto, CA

Past

September 2, 2008 - March 19, 2012

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

MODESTO, CA

Past

October 9, 2007 - August 27, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN FRANCISCO, CA

Past

October 9, 2007 - August 27, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

April 30, 2007 - August 28, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN FRANCISCO, CA

Past

April 2, 2007 - August 28, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

March 30, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SAN FRANCISCO, CA

Past

September 18, 2006 - January 20, 2007

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

BURLINGAME, CA

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".

MRAZ AND ASSOCIATES

AVIAD WEALTH MANAGEMENT, INC. | MRAZ, AMERINE & ASSOCIATES, INC. | MRAZ AND ASSOCIATES

CRD#: 158338 / SEC#: 801-72742

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

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

California
(10/24/2011)

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: 4/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/8/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/29/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MRAZ AND ASSOCIATES

AVIAD WEALTH MANAGEMENT, INC. | MRAZ, AMERINE & ASSOCIATES, INC. | MRAZ AND ASSOCIATES

CRD#: 158338 / SEC#: 801-72742

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

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Contact information

Main Address

1120 13th Street Suite C, Modesto, CA 95354

Mailing Address

Phone number

(209) 593-5870

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (5/12/2025)

Regulatory assets under management

Total Number of Accounts	1,406
AUM (Assets Under Management)	$ 784,862,351

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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Advisor Monitoring

Firm Stability Insights

Deidre M. Mraz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deidre Michelle Mraz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCERT WEALTH MANAGEMENT

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MRAZ AND ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2007

Series 63

Date: 9/25/2006

Series 31

Date: 5/8/2007

Series 7

Date: 3/29/2007

Series 6

Date: 9/15/2006

Current Firm

MRAZ AND ASSOCIATES

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MRAZ AND ASSOCIATES

TRUST BUT VERIFY

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