David Ozga is a registered investment advisor, based in Plainville, CT, with 15 years of industry experience.
Location
Plainville, CT
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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
Stancorp Equities, INC.
September 2024 - Present · 1 yr 7 mos
Stancorp Investment Advisers, INC.
September 2024 - Present · 1 yr 7 mos
Stancorp Equities, INC.Broker
September 2024 - Present · 1 yr 7 mos
Previous Registrations
NFP Retirement INC.
February 2024 - September 2024 · 7 mos
Kestra Investment Services, LLCBroker
January 2013 - February 2024 · 11 yrs 1 mo
Ing Financial Advisers, LLCBroker
October 2010 - December 2012 · 2 yrs 2 mos
State Registrations1 state
CT
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.