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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

John Joseph Duggan

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LA JOLLA, CA | Rancho Santa Fe, CA

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Search this name across graphsid dfx:ria:73ee70db-eb76-2fd5-f45a-decb0be9e4dc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 15, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 24, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Aug 24, 1998
First registration: Jun 15, 1999
Dual registered: yes, broker-dealer
Other names: JOHN JOSEPH JR DUGGAN|JOHN JOSEPH DUGGAN|John J Duggan|John Joseph Duggan
IAPD individual key: 2029770

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 10, 2020	n/a	yes	LA JOLLA, CA\|Rancho Santa Fe, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Dec 16, 2020	no	WALNUT CREEK, CA\|WALNUT CREEK, CA\|LAFAYETTE, CA\|WALNUT CREEK, CA\|SAN DIEGO, CA\|CARLSBAD, CA\|LA JOLLA, CA\|LA JOLLA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 2, 2009	Oct 1, 2012	no	LAFAYETTE, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA	Previous registration
DUGGAN CAPITAL MANAGEMENT, LLC	n/a	Aug 17, 2007	Dec 10, 2008	no	SAN DIEGO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jul 20, 2006	Jul 31, 2007	no	SAN JOSE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 15, 1999	Apr 25, 2006	no	SAN DIEGO, CA\|CLAYTON, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 16, 2020	Dec 10, 2020	-6	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
DUGGAN CAPITAL MANAGEMENT, LLC	CHASE INVESTMENT SERVICES CORP.	Dec 10, 2008	Jul 2, 2009	204	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	DUGGAN CAPITAL MANAGEMENT, LLC	Jul 31, 2007	Aug 17, 2007	17	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO INVESTMENTS, LLC	Apr 25, 2006	Jul 20, 2006	86	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:7691:CA:2020-12-16	Dec 16, 2020	Dec 10, 2020	LA JOLLA, CA	Firm change

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 15, 1999 to Apr 25, 2006factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Dec 16, 2020factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 2, 2009 to Oct 1, 2012factForm ADV
→ DUGGAN CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 17, 2007 to Dec 10, 2008factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 20, 2006 to Jul 31, 2007factForm ADV

Dated events

No dated event names this entity yet.