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David Gerard Ozga

Morgan Stanley

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About David Gerard Ozga

David Gerard Ozga is an active investment advisor representative with Morgan Stanley. David has been in the securities industry since August 1988, and has worked for multiple firms. David has a variety of licenses and registrations, including Series 4, 6, 7, 8, 63 and 66. David holds registrations in multiple states and is a registered investment advisor in Ohio, North Carolina, South Carolina and Texas.

Firm Information

David Ozga is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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David Ozga’s Registration & Firm History

NC

07/15/2015 - Present

Morgan Stanley (Cornelius NC)

NC

09/24/2010 - 03/19/2012

UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)

SC

06/15/2009 - 09/16/2010

WELLS FARGO ADVISORS, LLC (COLUMBIA SC)

NC

06/29/2001 - 09/21/2007

BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)

NC

06/18/1998 - 06/17/1999

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

IL

11/18/1994 - 01/05/1998

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

NA

08/14/1992 - 08/04/1994

CITIZENS BROKERAGE SERVICES, INC.

TX

03/29/1989 - 02/04/1991

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NA

04/09/1986 - 03/20/1989

OLDE DISCOUNT CORPORATION

NA

12/17/1985 - 04/17/1986

MARINER FINANCIAL SERVICES, INC.

NA

08/12/1981 - 11/30/1984

FIRST INVESTORS CORPORATION

NA

04/26/1983 - 03/12/1984

KRENTZ, MEYER & MCCLELLAN INVESTMENT CORPORATION

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Licenses & Designations

BC

Issued 12/01/2010

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 10/05/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/28/1989

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 12/29/1987

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/1985

Series 7 - General Securities Representative Examination

BC

Issued 08/10/1981

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Gerard Ozga.
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