Timothy P. Ozog
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy P Ozog, who also goes by Tim Ozog, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2007. Timothy had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2021 - June 13, 2024
TIM OZOG WEALTH MANAGEMENT
December 23, 2008 - October 28, 2021
PLANMEMBER SECURITIES CORPORATION
September 26, 2008 - October 28, 2021
PLANMEMBER SECURITIES CORPORATION
April 5, 2007 - October 2, 2008
HORTER INVESTMENT MANAGEMENT, LLC
State Registrations and Notice Filings
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Exams
Current Firm
TIM OZOG WEALTH MANAGEMENT
CRD#: 317349 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 3,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
