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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

NICHOLAS HOOD

Advisor at ESI FINANCIAL ADVISORS

TIMONIUM, MD

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Search this name across graphsid dfx:ria:309231c7-10e5-8903-3589-8a6b0767b25a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 19, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 28, 2017
First registration: May 19, 2017
Dual registered: yes, broker-dealer
Other names: NICHOLAS G. HOOD|Nick Hood|NICHOLAS G HOOD
IAPD individual key: 6372859

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESI FINANCIAL ADVISORS	Independent wealth	Mar 4, 2026	n/a	yes	TIMONIUM, MD	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Nov 18, 2024	Feb 4, 2026	no	White Hall, MD\|Towson, MD\|Towson, MD\|Shrewsbury, PA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Oct 21, 2019	Nov 19, 2024	no	HUNT VALLEY, MD\|WHITE HALL, MD	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	May 19, 2017	Sep 9, 2019	no	Hunt Valley, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	ESI FINANCIAL ADVISORS	Feb 4, 2026	Mar 4, 2026	28	Firm change	Ibd to RIA
MML INVESTORS SERVICES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Nov 19, 2024	Nov 18, 2024	-1	Firm change	Ibd to ibd
PARK AVENUE SECURITIES LLC	MML INVESTORS SERVICES, LLC	Sep 9, 2019	Oct 21, 2019	42	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: current employment
Mar 4, 2026 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Nov 18, 2024 to Feb 4, 2026factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Oct 21, 2019 to Nov 19, 2024factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
May 19, 2017 to Sep 9, 2019factForm ADV

Dated events

Occurred
Feb 4, 2026
Advisor changed firm
Nicholas Hood left Cambridge Investment Research Advisors, Inc. for Esi Financial Advisors (registered 2026-03-04)
Form ADVobserved 6 days ago
Occurred
Nov 19, 2024
Advisor changed firm
Nicholas Hood left Mml Investors Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-11-18)
Form ADVobserved 6 days ago