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Peter P Dougherty

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chagrin Falls, OH

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2005-01-28
OH RA APPROVED 2003-01-13
  • TX RA
    APPROVED_RES
    Since 2005-01-28
  • OH RA
    APPROVED
    Since 2003-01-13

Branch Locations

45 E Washington St, Chagrin Falls, OH 44022 • 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 Chagrin Falls OH 11/1999 Present
Bank Of America,N.A. Chagrin Falls OH 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-05
S63 Uniform Securities Agent State Law Examination 1992-03-10
  • S65 Uniform Investment Adviser Law Examination
    2001-11-05
  • S63 Uniform Securities Agent State Law Examination
    1992-03-10
Other Names
  • Peter Paul Dougherty

View on SEC IAPD

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