Humberto Raya Vazquez

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-11-06
IL	RA	APPROVED	2025-09-02

TX RA
APPROVED

Since 2025-11-06
IL RA
APPROVED

Since 2025-09-02

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	Warrenville	IL	01/2020	06/2025
J.P. Morgan Securities Llc	Warrenville	IL	01/2020	06/2025
Commerce Bank	St. Peters	MO	03/2019	12/2019
Anheuser-Busch Employees Credit Union	St. Louis	MO	05/2018	03/2019
Casa Juarez	Maryland Heights	MO	01/2018	05/2018
Chihuahua's Mexican Restaurant	Maryland Heights	MO	12/2015	12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Aurora	IL	06/2025	Present
Bank Of America, N.A.	Aurora	IL	09/2025	Present

01/2020 → 06/2025

Jpmorgan Chase Bank, N.A.

Warrenville, IL
01/2020 → 06/2025

J.P. Morgan Securities Llc

Warrenville, IL
03/2019 → 12/2019

Commerce Bank

St. Peters, MO
05/2018 → 03/2019

Anheuser-Busch Employees Credit Union

St. Louis, MO
01/2018 → 05/2018

Casa Juarez

Maryland Heights, MO
12/2015 → 12/2017

Chihuahua's Mexican Restaurant

Maryland Heights, MO
06/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Aurora, IL
09/2025 → Present

Bank Of America, N.A.

Aurora, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-09-02
S63	Uniform Securities Agent State Law Examination	2020-06-12

S66 Uniform Combined State Law Examination

2025-09-02
S63 Uniform Securities Agent State Law Examination

2020-06-12

Other Names

Humberto Raya