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Erico Cajes Galvez

Capital Resource Advisors LLC.

Portland, ME

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Current Employers
Capital Resource Advisors Llc.

Portland, ME • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2025-08-18
  • ME RA
    APPROVED
    Since 2025-08-18

Branch Locations

Portland, ME • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc Portland ME 07/2005 03/2023
Charles Schwab Bank, Ssb Portland ME 04/2008 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Portland ME 03/2023 10/2024
Bank Of America, N.A. Portland ME 05/2023 10/2024
Capital Resource Advisors Llc. Portland ME 03/2025 Present
Retired Portland ME 10/2024 03/2025
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-13
S63 Uniform Securities Agent State Law Examination 1994-04-15
  • S65 Uniform Investment Adviser Law Examination
    2001-03-13
  • S63 Uniform Securities Agent State Law Examination
    1994-04-15
Other Names
  • Erico Cajes Galvez
  • Erico Cajes Galvez
  • Eric Cajes Galvez

View on SEC IAPD

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