Deidre Mraz has been Shareholder/Chief Compliance Officer of Mraz, Amerine & Associates since October 2011, is a control person of the firm and directly owns between 10% and 25% of it.
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.
Deidre Mraz’s longest registration is the current one, 14 years at Mraz, Amerine & Associates since 2011. Before joining Mraz, Amerine & Associates in 2011, Deidre 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– · 3 yearsModesto, CA · Adviser representative · Firm CRD 141253
- Morgan Stanley & Co. Incorporated– · under a yearSan Francisco, CA · Adviser representative · Firm CRD 8209
- Morgan Stanley & Co., Incorporated– · under a yearSan Francisco, CA · Adviser representative · Firm CRD 8209
Investment adviser representative registrations
Deidre Mraz is registered as an investment adviser representative in California, since October 2011.
- CaliforniaSince 24 October 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 8 May 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 April 2007 |
| Series 7 | General Securities Representative Examination | 29 March 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 September 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 September 2006 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Deidre Michelle Mraz
- CRD
- 5215952
- Firm
- Mraz, Amerine & Associates · CRD 158338
- Role
- Shareholder/Chief Compliance Officer
- Office
- 1120 13TH STREET, SUITE C, Modesto, CA 95354
- Registration
- Investment adviser registration
- In the industry since
- June 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Deidre Mraz work?
Deidre Mraz has been Shareholder/Chief Compliance Officer of Mraz, Amerine & Associates, Inc. since October 2011, and is a control person of the firm.
Is Deidre Mraz a financial advisor?
Yes. Deidre Mraz has a current investment-adviser registration in California, through Mraz, Amerine & Associates since October 2011.
How many years of experience does Deidre Mraz have?
Deidre Mraz has 19 years in the financial industry, since June 2007, across 3 adviser firms.
What exams has Deidre Mraz passed?
Deidre Mraz has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 65 and Series 31. The earliest, the Series 6, was passed in September 2006.
Where did Deidre Mraz work before Mraz, Amerine & Associates?
Before Mraz, Amerine & Associates, Deidre Mraz was registered through Morgan Stanley & Co. Incorporated, October 2007 to August 2008; Morgan Stanley & Co., Incorporated, April 2007 to August 2007.
Where is Deidre Mraz based?
Deidre Mraz’s registered office is in Modesto, CA.
Is Deidre Mraz registered with FINRA?
No. Deidre Mraz has no current broker registration.
How can I verify Deidre Mraz’s record?
Search CRD 5215952 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Deidre Mraz’s full registration record.
David MrazShareholder- Gloria MrazShareholder