David Ozga is a registered investment advisor at Morgan Stanley, based in Cornelius, NC, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
17505 West Catawba Avenue, Suite 300, Cornelius, NC, 28031
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
April 2012 - Present · 14 yrs 1 mo
Morgan StanleyBroker
April 2012 - Present · 14 yrs 1 mo
Previous Registrations
UBS Financial Services INC.
September 2010 - March 2012 · 1 yr 6 mos
UBS Financial Services INC.Broker
September 2010 - March 2012 · 1 yr 6 mos
Wells Fargo Advisors, LLCBroker
June 2009 - September 2010 · 1 yr 3 mos
Wells Fargo Advisors, LLC
June 2009 - September 2010 · 1 yr 3 mos
LPL Financial Corporation
February 2009 - March 2009 · 1 mo
Banc of America Investment Services, INC.
October 2005 - September 2007 · 1 yr 11 mos
Banc of America Investment Services, INC.Broker
June 2001 - September 2007 · 6 yrs 3 mos
First Union Brokerage Services, INC.Broker
June 1998 - June 1999 · 1 yr
Chase Investment Services CORP.Broker
November 1994 - January 1998 · 3 yrs 2 mos
Citizens Brokerage Services, INC.Broker
August 1992 - August 1994 · 2 yrs
Charles Schwab & CO., INC.Broker
March 1989 - February 1991 · 1 yr 11 mos
Olde Discount CorporationBroker
April 1986 - March 1989 · 2 yrs 11 mos
Mariner Financial Services, INC.Broker
December 1985 - April 1986 · 4 mos
Krentz, Meyer & Mcclellan Investment CorporationBroker
April 1983 - March 1984 · 11 mos
First Investors CorporationBroker
August 1981 - November 1984 · 3 yrs 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.