Liam Dougherty

Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-02-09
NY	RA	APPROVED	2022-02-08

TX RA
APPROVED_RES

Since 2022-02-09
NY RA
APPROVED

Since 2022-02-08

Branch Locations

277 Park Ave, Floors 3 & 36, New York, NY 10172 • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	New York	NY	11/2021	Present
Jpmorgan Chase Bank, N.A.	New York	NY	11/2021	Present
Ubs Financial Services Inc	Weehawken	NJ	07/2012	11/2021

11/2021 → Present

J.P. Morgan Securities Llc

New York, NY
11/2021 → Present

Jpmorgan Chase Bank, N.A.

New York, NY
07/2012 → 11/2021

Ubs Financial Services Inc

Weehawken, NJ

Previous Registrations

2015-11-23 → 2021-12-16

Ubs Financial Services Inc.

Hunt Valley, MD

Baltimore, MD

Weehawken, NJ

Weehawken, NJ

Other Businesses

Effective 11/29/2021 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-11-23

S66 Uniform Combined State Law Examination

2015-11-23

Other Names

Liam Michael Dougherty
Liam M Michael Dougherty

View on SEC IAPD