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David Frederick Mraz

Mraz And Associates

Modesto, CA

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Current Employers
Mraz And Associates

1120 13Th Street Suite C, Modesto, CA 95354 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-12-19
CA RA APPROVED 2011-10-24
  • TX RA
    APPROVED_RES
    Since 2012-12-19
  • CA RA
    APPROVED
    Since 2011-10-24

Branch Locations

1120 13Th Street Suite C, Modesto, CA 95354 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mraz, Amerine & Associates Modesto CA 10/2011 Present
  • 10/2011 → Present
    Mraz, Amerine & Associates
    Modesto, CA
Previous Registrations
  • 2007-10-08 → 2011-11-28
    Concert Wealth Management
    San Jose, CA
    Modesto, CA
  • 2007-04-02 → 2007-10-11
    Morgan Stanley & Co. Llc
    Modesto, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Modesto, CA
    Modesto, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-10
S63 Uniform Securities Agent State Law Examination 1985-12-04
  • S65 Uniform Investment Adviser Law Examination
    2003-07-10
  • S63 Uniform Securities Agent State Law Examination
    1985-12-04

View on SEC IAPD

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JESSE G CORTEZ
CALVIN L HEIM
BRIAN WAYNE STEVENS
VICKY M JOHNSON
CORY ALAN KELLY
ANGELO MICHAEL GIANNOSA

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · MODESTO, CA
LPL FINANCIAL LLC · MODESTO, CA
PRINCIPAL SECURITIES, INC. · MODESTO, CA
LPL FINANCIAL LLC · MODESTO, CA
INTEGRAL WEALTH MANAGEMENT · Modesto, CA
OLIVEIRA WEALTH · MODESTO, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Modesto, CA
OSAIC WEALTH, INC. · MODESTO, CA

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