Humberto Munoz Caraveo

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2022-02-11

Branch Locations

Glendale, AZ • United States

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

Organization	City	State	From	To
Charles Schwab & Co	Phoenix	AZ	04/2017	08/2017
Wells Fargo	Phoenix	AZ	12/2014	03/2017
The Vanguard Group Inc	Scottsdale	AZ	06/2018	04/2020
Bank Of America	Chandler	AZ	09/2017	05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	05/2020	03/2021
Amp Smart	Phoenix	AZ	12/2016	12/2016
Charlies	Phoenix	AZ	08/2016	09/2016
Jpmorgan Chase Bank Na	Tempe	AZ	04/2021	Present
Jpmorgan Securities Llc	Tempe	AZ	04/2021	Present

04/2017 → 08/2017

Charles Schwab & Co

Phoenix, AZ
12/2014 → 03/2017

Wells Fargo

Phoenix, AZ
06/2018 → 04/2020

The Vanguard Group Inc

Scottsdale, AZ
09/2017 → 05/2018

Bank Of America

Chandler, AZ
05/2020 → 03/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
12/2016 → 12/2016

Amp Smart

Phoenix, AZ
08/2016 → 09/2016

Charlies

Phoenix, AZ
04/2021 → Present

Jpmorgan Chase Bank Na

Tempe, AZ
04/2021 → Present

Jpmorgan Securities Llc

Tempe, AZ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-12-01
S63	Uniform Securities Agent State Law Examination	2018-07-30

Other Firms