John Laurence Dozier

CRD 2636057 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Atlanta, GA

IA RegisteredBroker

Also appears in the source record as: John L (Jr) Dozier; John Laurence Dozier Jr; John Dozier

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 66Series 63Series 65Series 24Series 4SIESeries 7Series 55Series 3
Registered states (23): Alabama · Arizona · California · Colorado · District Of Columbia · Florida · Georgia · Illinois · Kentucky · Louisiana · Maryland · Massachusetts · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia
Years in the industry (source record): 31
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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
North Garden, VA · IA capacity

May 17, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Atlanta, GA · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
BD capacity

Mar 30, 2010 → Oct 23, 2012
J.P. Morgan Securities Inc.
BD capacity

Oct 1, 2008 → Mar 22, 2010
J.P. Morgan Securities Inc.
BD capacity

Apr 9, 2003 → Oct 1, 2008
Ubs Warburg LLC
BD capacity

Oct 18, 2000 → Apr 2, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Aug 31, 1995 → Jun 26, 1998

Source & corrections

Where this page comes from

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