David F. Mraz

MRAZ AND ASSOCIATES

Modesto, CA 95354

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CRD#: 809949

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 David Frederick 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

November 29, 2007 - April 11, 2008

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SAN JOSE, CA

Past

October 8, 2007 - November 28, 2011

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

MODESTO, CA

Past

April 2, 2007 - October 11, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MODESTO, CA

Past

April 2, 2007 - October 11, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

MODESTO, CA

Past

July 8, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MODESTO, CA

Past

February 24, 1978 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

MODESTO, CA

Past

July 9, 1975 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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)

IAR

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 7/10/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 5/20/1976

NYSE Branch Manager Examination

Principal/Supervisory Exam

F04

Date: 7/3/1975

Financial Principal Examination

Principal/Supervisory Exam

Series 00

Date: 7/3/1975

General Securities Principal 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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David F. Mraz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Frederick Mraz's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CONCERT WEALTH MANAGEMENT

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

MRAZ AND ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2003

Series 63

Date: 12/4/1985

Series 5

Date: 12/11/1982

Series 4

Date: 9/13/1977

Series 12

Date: 5/20/1976

F04

Date: 7/3/1975

Series 00

Date: 7/3/1975

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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