Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Duggan is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the securities industry since 1999 and has held prior registrations with firms including J.P. Morgan Securities LLC, Chase Investment Services Corp., Wells Fargo Investments, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John is licensed to provide investment advisory services in California and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
12/10/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LA JOLLA CA)
CA
10/01/2012 - 12/16/2020
J.P. MORGAN SECURITIES LLC (LA JOLLA CA)
CA
07/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WALNUT CREEK CA)
CA
07/20/2006 - 07/31/2007
WELLS FARGO INVESTMENTS, LLC (SAN JOSE CA)
MO
04/06/1999 - 04/25/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CLAYTON MO)
CA
08/26/1998 - 01/04/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
02/15/1990 - 06/22/1990
GNA SECURITIES, INC. (GLEN ALLEN VA)
IA
Issued 05/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/15/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/24/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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