David Frederick Mraz
Professional Summary
David Frederick Mraz is a registered financial advisor currently at MRAZ AND ASSOCIATES located in Modesto, California. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. David has worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 4, Series 12, F04 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
51 years in the financial services industry
Current & Past Employments
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Current Firm
AVIAD WEALTH MANAGEMENT, INC. | MRAZ, AMERINE & ASSOCIATES, INC. | MRAZ AND ASSOCIATES
Contact Information
Main Address
1120 13th Street Suite C, Modesto, CA 95354Phone Number
(209) 593-5870# of Employees
6SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,289AUM (Assets Under Management)
$917,491,815Similar Advisors
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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.
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Primary Firm SEC Registration
AVIAD WEALTH MANAGEMENT, INC. | MRAZ, AMERINE & ASSOCIATES, INC. | MRAZ AND ASSOCIATES
State Registrations and Notice Filings
(10/24/2011)
(12/19/2012)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Dec 1982Series 12 — NYSE Branch Manager Examination
Passed May 1976F04 — Financial Principal Examination
Passed Jul 1975Series 00 — General Securities Principal Examination
Passed Jul 1975Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Frederick Mraz's CRS (Customer Relationship Summary).
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