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Jennifer C Duggan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rancho Santa Fe, CA

Rancho Santa Fe, CA

CRD 2878773

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-05-27
TX RA APPROVED_RES 2014-08-04
CA RA APPROVED 2014-07-01
  • IL RA
    APPROVED
    Since 2026-05-27
  • TX RA
    APPROVED_RES
    Since 2014-08-04
  • CA RA
    APPROVED
    Since 2014-07-01

Branch Locations

6006 El Tordo Pwm, Rancho Santa Fe, CA 92067 • United States

6002 El Tordo, Rancho Santa Fe, CA 92067 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bonsall CA 09/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-30
S63 Uniform Securities Agent State Law Examination 2010-06-02
  • S65 Uniform Investment Adviser Law Examination
    2014-06-30
  • S63 Uniform Securities Agent State Law Examination
    2010-06-02
Other Names
  • Jennifer Carmel Regalado
  • Jennifer C Regalado
  • Jennifer Carmel Duggan

View on SEC IAPD

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