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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

ALEC EDWARD HOKE

Advisor at ESI FINANCIAL ADVISORS

CAZENOVIA, NY | COLCHESTER, VT

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2001 to Sep 15, 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: Jan 26, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 26, 1994
First registration: Jan 2, 2001
Dual registered: yes, broker-dealer
Other names: ALEC E HOKE
IAPD individual key: 1921673

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	Aug 12, 2021	n/a	yes	COLCHESTER, VT\|CAZENOVIA, NY	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Apr 22, 2021	Jul 14, 2021	no	Syracuse, NY\|Fayetteville, NY\|Fayetteville, NY	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 17, 2012	Mar 17, 2020	no	SAN DIEGO, CA\|CAZENOVIA, NY\|Fayetteville, NY	Previous registration
1ST DISCOUNT BROKERAGE, INC.	Independent wealth	Jan 11, 2011	Jun 29, 2012	no	CAZENOVIA, NY	Previous registration
SAXONY CAPITAL MANAGEMENT, LLC	Independent wealth	Apr 28, 2008	Feb 20, 2009	no	NORTH BAY VILLAGE, FL\|SAINT LOUIS, MO	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Feb 5, 2003	May 10, 2006	no	BOCA RATON, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 2, 2001	Feb 18, 2003	no	BOCA RATON, FL	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
PRUCO SECURITIES, LLC	ESI FINANCIAL ADVISORS	Jul 14, 2021	Aug 12, 2021	29	Firm change	Ibd to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	PRUCO SECURITIES, LLC	Mar 17, 2020	Apr 22, 2021	401	Firm change after gap	Ibd to ibd
1ST DISCOUNT BROKERAGE, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jun 29, 2012	Jul 17, 2012	18	Firm change	Other
SAXONY CAPITAL MANAGEMENT, LLC	1ST DISCOUNT BROKERAGE, INC.	Feb 20, 2009	Jan 11, 2011	690	Firm change after gap	Other
SUMMIT FINANCIAL GROUP INC	SAXONY CAPITAL MANAGEMENT, LLC	May 10, 2006	Apr 28, 2008	719	Firm change after gap	Other
WELLS FARGO ADVISORS	SUMMIT FINANCIAL GROUP INC	Feb 18, 2003	Feb 5, 2003	-13	Firm change	Other

Relationships

Registered with (7)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: current employment
Aug 12, 2021 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 22, 2021 to Jul 14, 2021factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 17, 2012 to Mar 17, 2020factForm ADV
→ 1ST DISCOUNT BROKERAGE, INC.Registered adviserregistration: previous registration
Jan 11, 2011 to Jun 29, 2012factForm ADV
→ SAXONY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 28, 2008 to Feb 20, 2009factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Feb 5, 2003 to May 10, 2006factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 2, 2001 to Feb 18, 2003factForm ADV

Dated events

No dated event names this entity yet.