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John Joseph Duggan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

La Jolla, CA

Rancho Santa Fe, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-12-10
TX RA APPROVED_RES 2020-12-10
  • CA RA
    APPROVED
    Since 2020-12-10
  • TX RA
    APPROVED_RES
    Since 2020-12-10

Branch Locations

7825 Fay Ave, La Jolla, CA 92037 • United States

6006 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
Jp Morgan Chase Bank, N.A. La Jolla CA 02/2013 12/2020
J.P. Morgan Securities Llc La Jolla CA 02/2013 12/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated (Crd: 7691) La Jolla CA 12/2020 Present
Bank Of America, N.A. La Jolla CA 01/2021 Present
  • 02/2013 → 12/2020
    Jp Morgan Chase Bank, N.A.
    La Jolla, CA
  • 02/2013 → 12/2020
    J.P. Morgan Securities Llc
    La Jolla, CA
  • 12/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (Crd: 7691)
    La Jolla, CA
  • 01/2021 → Present
    Bank Of America, N.A.
    La Jolla, CA
Previous Registrations
  • 2012-10-01 → 2020-12-16
    J.P. Morgan Securities Llc
    Walnut Creek, CA
    Walnut Creek, CA
    Lafayette, CA
    Walnut Creek, CA
    San Diego, CA
    Carlsbad, CA
    La Jolla, CA
    La Jolla, CA
  • 2009-07-02 → 2012-10-01
    Chase Investment Services Corp.
    Lafayette, CA
    Walnut Creek, CA
    Walnut Creek, CA
    Walnut Creek, CA
  • 2007-08-17 → 2008-12-10
    Duggan Capital Management, Llc
    San Diego, CA
  • 2006-07-20 → 2007-07-31
    Wells Fargo Investments, Llc
    San Jose, CA
  • 1999-06-15 → 2006-04-25
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Diego, CA
    Clayton, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-18
S63 Uniform Securities Agent State Law Examination 1998-08-24
  • S65 Uniform Investment Adviser Law Examination
    1999-05-18
  • S63 Uniform Securities Agent State Law Examination
    1998-08-24
Other Names
  • John Joseph Jr Duggan
  • John Joseph Duggan
  • John J Duggan
  • John Joseph Duggan

View on SEC IAPD

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UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
HAMILTON MANOR & ASSOCIATES · LA JOLLA, CA
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INTEGRATED WEALTH CONCEPTS LLC · LA JOLLA, CA

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