David Mraz has been Shareholder of Mraz, Amerine & Associates since October 2011, is a control person of the firm and directly owns between 25% and 50% of it. David Mraz holds a BS (Economics) from Santa Clara University and an MBA (Finance) from Santa Clara University.
Mraz, Amerine & Associates, Inc. is a Modesto, CA firm with $917M under management, 487 clients and 5 advisers in one office, as of its October 2026 filing.
David F. Mraz is Chief Investment Officer/Owner of Mraz and Associates. He has been an employee of the firm since 2007 and has 44 years of financial experience, working in securities research and analysis and in custom portfolio construction and management.
David Mraz’s longest registration is the current one, 14 years at Mraz, Amerine & Associates since 2011. Before joining Mraz, Amerine & Associates in 2011, David Mraz was registered through Concert Wealth Management and Morgan Stanley & Co., Incorporated.
- Mraz and AssociatesCurrent– present · 14 yearsModesto, CA · Adviser representative · Firm CRD 158338
- Concert Wealth Management– · 4 yearsModesto, CA · Adviser representative · Firm CRD 141253
- Morgan Stanley & Co., Incorporated– · under a yearModesto, CA · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 9 yearsModesto, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
David Mraz is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2011; the most recent is Texas, in December 2012.
- CaliforniaSince 24 October 2011
- TexasResidentSince 19 December 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 July 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 December 1985 |
| Series 5 | Interest Rate Options Examination | 11 December 1982 |
| Series 4 | Registered Options Principal Examination | 13 September 1977 |
| Series 12 | NYSE Branch Manager Examination | 20 May 1976 |
| F04 | Financial Principal Examination | 3 July 1975 |
| Series 00 | General Securities Principal Examination | 3 July 1975 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Interest Rate Options Examination
- Name
- Registered Options Principal Examination
- Name
- NYSE Branch Manager Examination
- Name
- Financial Principal Examination
- Name
- General Securities Principal Examination
- Full name
- David Frederick Mraz
- CRD
- 809949
- Firm
- Mraz, Amerine & Associates · CRD 158338
- Role
- Shareholder
- Office
- 1120 13TH STREET, SUITE C, Modesto, CA 95354
- Registration
- Investment adviser registration
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mrazassociates.com
Where does David Mraz work?
David Mraz has been Shareholder of Mraz, Amerine & Associates, Inc. since October 2011, and is a control person of the firm.
Is David Mraz a financial advisor?
Yes. David Mraz has a current investment-adviser registration in California and Texas, through Mraz, Amerine & Associates since October 2011.
How many years of experience does David Mraz have?
David Mraz has 29 years in the financial industry, since July 1997, across 4 adviser firms.
What exams has David Mraz passed?
David Mraz has passed 7 licensing exams: the F04, Series 00, Series 12, Series 4, Series 5, Series 63 and Series 65. The earliest, the F04, was passed in July 1975.
Where did David Mraz work before Mraz, Amerine & Associates?
Before Mraz, Amerine & Associates, David Mraz was registered through Morgan Stanley & Co., Incorporated, April 2007 to October 2007; Morgan Stanley, July 1997 to April 2007.
Where is David Mraz based?
David Mraz’s registered office is in Modesto, CA.
Is David Mraz registered with FINRA?
No. David Mraz has no current broker registration.
How can I verify David Mraz’s record?
Search CRD 809949 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Mraz’s full registration record.
- Deidre MrazShareholder/Chief Compliance Officer
- Gloria MrazShareholder