Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erico? Claim Your ProfileErico Cajes Galvez is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Erico has 29 years of experience in the securities industry. Erico has passed the Series 63, 65, 7, 9, 10, and SIE exams. Erico is licensed to provide financial services in 18 states and is registered as an Investment Advisor Representative. Erico has previously worked for Charles Schwab & Co., Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., JANNEY MONTGOMERY SCOTT INC., and HANOVER, STERLING & COMPANY LTD. Erico is active in the securities industry and has a strong track record of providing financial advice to a wide range of clients, including individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
ME
03/29/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PORTLAND ME)
ME
07/28/2005 - 04/12/2023
CHARLES SCHWAB & CO., INC. (Portland ME)
MA
10/20/2004 - 07/13/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
12/05/1996 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
PA
08/10/1994 - 11/19/1996
JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)
NY
04/07/1994 - 05/19/1994
HANOVER, STERLING & COMPANY LTD. (NEW YORK NY)
IA
Issued 03/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2001
Series 4 - Registered Options Principal Examination
BC
Issued 05/30/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/18/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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