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Detailed Report
J DOUGLAS MORAN
DOUG MORAN, J DOUGLAS MORAN, J. DOUGLAS DOUGLAS MORAN, J.DOUGLAS MORAN, JDOUGLAS MORAN
CRD#: 2772747
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - Present (27 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - Present (28 years)
License(s)

State Registrations

B
Alabama 3/28/2024
B
Montana 6/25/2024
B
Arizona 10/20/2006
B
Nevada 10/30/2018
B
California 1/15/1998
B
New Hampshire 1/5/2012
IA
California 6/20/2014
B
New Jersey 12/6/1996
B
Colorado 10/20/2006
B
New York 11/15/1996
B
Connecticut 10/15/1996
B
North Carolina 10/28/1997
B
Delaware 9/5/1997
B
Ohio 4/14/1998
B
District of Columbia 4/17/1998
B
Oregon 1/26/2009
B
Florida 10/28/1997
B
Pennsylvania 9/18/1996
B
Georgia 7/5/2016
IA
Pennsylvania 6/24/2010
B
Hawaii 12/15/2006
B
South Carolina 4/14/1998
B
Idaho 11/10/2023
B
South Dakota 7/26/2022
B
Illinois 11/29/1996
B
Tennessee 4/6/2006
B
Iowa 1/3/2025
B
Texas 6/2/1997
B
Kansas 2/12/2020
IA
Texas 6/2/1997
B
Kentucky 1/3/2025
B
Utah 9/6/2017
B
Maine 9/18/2014
B
Vermont 6/7/2000
B
Maryland 10/24/1997
B
Virginia 2/9/1998
B
Massachusetts 9/4/1997
B
Washington 5/16/1997
B
Michigan 12/10/2010
B
Wisconsin 1/3/2025
B
Missouri 10/3/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
520 NEWPORT CENTER DR, NEWPORT BEACH, CA 92660
Registered with this firm since 6/2/1997
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
520 NEWPORT CENTER DR, NEWPORT BEACH, CA 92660
Registered with this firm since 9/4/1996
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.