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David Gerard Ozga

Morgan Stanley

Cornelius, NC

Columbia, SC

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-09-27
NC RA APPROVED 2015-07-15
TX RA APPROVED_RES 2015-07-15
OH RA APPROVED 2012-04-25
  • SC RA
    APPROVED
    Since 2021-09-27
  • NC RA
    APPROVED
    Since 2015-07-15
  • TX RA
    APPROVED_RES
    Since 2015-07-15
  • OH RA
    APPROVED
    Since 2012-04-25

Branch Locations

17505 West Catawba Avenue Suite 300, Cornelius, NC 28031 • United States

1320 Main Street Suite 800, Columbia, SC 29201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Charlotte NC 04/2015 Present
Morgan Stanley Smith Barney Llc Columbia SC 10/2018 Present
  • 04/2015 → Present
    Morgan Stanley Smith Barney Llc
    Charlotte, NC
  • 10/2018 → Present
    Morgan Stanley Smith Barney Llc
    Columbia, SC
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-12-01
S66 Uniform Combined State Law Examination 2005-10-05
  • S63 Uniform Securities Agent State Law Examination
    2010-12-01
  • S66 Uniform Combined State Law Examination
    2005-10-05

View on SEC IAPD

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Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Cornelius, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HUNTERSVILLE, NC
RAYMOND JAMES & ASSOCIATES, INC. · HUNTERSVILLE, NC
AMERIPRISE FINANCIAL SERVICES, LLC · Huntersville, NC
MML INVESTORS SERVICES, LLC · Huntersville, NC
CORNERSTONE WEALTH · HUNTERSVILLE, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Huntersville, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Huntersville, NC

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