Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mozilo is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the industry for 20 years. David is licensed to sell securities in Arizona, California, Colorado, New York, Oregon, Texas, and Virginia. David is also registered as an investment advisor in California and Texas. Previously, David worked for BANC OF AMERICA INVESTMENT SERVICES, INC., BEAR, STEARNS & CO. INC., COUNTRYWIDE SECURITIES CORPORATION, and COUNTRYWIDE INVESTMENTS, INC. David has earned the Series 7, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials Examination. David specializes in providing investment advice and portfolio management services for individuals, businesses, and institutions. David can help you reach your financial goals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/27/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
05/23/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
05/17/2007 - 05/22/2008
BEAR, STEARNS & CO. INC. (LOS ANGELES CA)
CA
03/18/2003 - 05/01/2006
COUNTRYWIDE SECURITIES CORPORATION (CALABASAS CA)
OH
11/25/1998 - 11/19/1999
COUNTRYWIDE INVESTMENTS, INC. (CINCINNATI OH)
IA
Issued 05/22/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Mozilo is the right advisor for you? Invested Better is here to help.
