Rosario Vargas

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2024-09-26
TX	RA	APPROVED	2024-09-26

Branch Locations

9340 Joliet Rd, Hodgkins, IL 60525 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Berwyn	IL	05/2019	09/2024
Bank Of America N.A.	Berwyn	IL	05/2019	09/2024
Unemployed	Chicago	IL	04/2019	05/2019
Compass Group Usa, Inc	Alsip	IL	01/2019	03/2019
Amazon Com Services Inc	Chicago	IL	10/2018	01/2019
Unemployed	Chicago	IL	09/2014	09/2018
J.P. Morgan Securities Llc	Hodgkins	IL	09/2024	Present
Jpmorgan Chase Bank, N.A.	Hodgkins	IL	09/2024	Present

05/2019 → 09/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Berwyn, IL
05/2019 → 09/2024

Bank Of America N.A.

Berwyn, IL
04/2019 → 05/2019

Unemployed

Chicago, IL
01/2019 → 03/2019

Compass Group Usa, Inc

Alsip, IL
10/2018 → 01/2019

Amazon Com Services Inc

Chicago, IL
09/2014 → 09/2018

Unemployed

Chicago, IL
09/2024 → Present

J.P. Morgan Securities Llc

Hodgkins, IL
09/2024 → Present

Jpmorgan Chase Bank, N.A.

Hodgkins, IL

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-12-19

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