John Joseph Duggan

CRD 2029770 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · La Jolla, CA

IA RegisteredBroker

Also appears in the source record as: John Joseph Duggan Jr; John Joseph Jr Duggan; John J Duggan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 9Series 10SIESeries 7Series 6
Registered states (13): Arizona · California · Colorado · Florida · Massachusetts · Michigan · Nevada · New Jersey · New York · Pennsylvania · Tennessee · Texas · Utah
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
La Jolla, CA · IA capacity

Dec 10, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
La Jolla, CA · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → Dec 16, 2020
J.P. Morgan Securities LLC
IA capacity

Oct 1, 2012 → Dec 16, 2020
Chase Investment Services Corp.
BD capacity

Jul 2, 2009 → Oct 1, 2012
Chase Investment Services Corp.
IA capacity

Jul 2, 2009 → Oct 1, 2012
Duggan Capital Management, LLC
IA capacity

Aug 17, 2007 → Dec 10, 2008
Wells Fargo Investments, LLC
BD capacity

Jul 20, 2006 → Jul 31, 2007
Wells Fargo Investments, LLC
IA capacity

Jul 20, 2006 → Jul 31, 2007
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Jun 15, 1999 → Apr 25, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 6, 1999 → Apr 25, 2006
Ba Investment Services, Inc.
BD capacity

Aug 26, 1998 → Jan 4, 1999
Gna Securities, Inc.
BD capacity

Feb 15, 1990 → Jun 22, 1990

Source & corrections

Where this page comes from

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