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Detailed Report
DEIDRE MICHELLE MRAZ
DEIDRE MRAZ JOHNSON
CRD#: 5215952
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Investment Adviser
MRAZ AND ASSOCIATESCRD#: 158338 1120 13TH STREET
SUITE C
MODESTO, CA 95354
Registration History
2008201020122014201620182020202220242026IAMRAZ AND ASSOCIATES (CRD# 158338)2011 - Present (13 years)IACONCERT WEALTH MANAGEMENT (CRD# 141253)2008 - 2012 (3 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (<1 year)IAMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2007 - 2007 (<1 year)
License(s)

State Registrations

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California 10/24/2011
Current Registration(s)
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MRAZ AND ASSOCIATES (CRD#:158338)
1120 13TH STREET SUITE C, MODESTO, CA 95354
Registered with this firm since 10/24/2011
Previous Registration(s)
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 09/02/2008 - 03/19/2012 CONCERT WEALTH MANAGEMENT (CRD#:141253) MODESTO, CA
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 10/09/2007 - 08/27/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
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 04/30/2007 - 08/28/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.