Thomas Robert Dougherty

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2003 → Present
  Jpmorgan Securities Llc
  New York, NY
• 01/2017 → Present
  Jpmorgan Chase Bank Na
  New York, NY
• 04/2021 → Present
  Knobby Outdoors, Llc
  Stamford, CT
• 12/2025 → Present
  Stamford Health Tully Health Center
  Stamford, CT

Other Businesses

Entity Name: Knobby Outdoors, LLC Investment related: N Address: Stamford, CT 06907 Nature of the other business: Event Planning Position/Title/Relationship: Sole Owner Start Date: 04/01/2021 "Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 during trading hours Briefly describe your duties: pPlanning and hosting events and trips. Also working with appropriate vendors and all other logistics for events and trips. Entity Name: Sarner Health and Fitness Institute At Stamford Health Tully Health Center Investment related: No Address: 32 Strawberry Hill Ct, Stamford, CT 06902 s://www.stamfordhealth.org/hfi/" Nature of the other business: Health & Fitness Position/Title/Relationship: Employee/Contractor Start Date: 12/06/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Teaching Restorative and Rehabilitative Yoga to inpatients, outpatients, and members of the Fitness Institute,

Exams

• S66 Uniform Combined State Law Examination
  2022-10-27
• S63 Uniform Securities Agent State Law Examination
  2009-06-16

Other Names

• Tom Dougherty
• Thomas R Dougherty