Steven R. Hoak

ARIS CAPITAL STRATEGIES

Raleigh, NC

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CRD#: 1315866

Professional summary

Steven Ronald Hoak is a registered financial advisor currently at ARIS CAPITAL STRATEGIES, LLC located in Raleigh, North Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Steven has worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Steven Ronald Hoak is an independent licensed insurance agent and the President of Agent Value Proposition, LLC. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. ARIS Capital Strategies, LLC always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of ARIS Capital Strategies, LLC in their capacity as a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Ronald Hoak's CRS (Customer Relationship Summary).

PRUDENTIAL RETIREMENT SERVICES, INC.

CRD#: 25058

NEWARK, NJ

Past

June 1, 1992 - May 1, 1993

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

December 23, 1991 - June 1, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

June 15, 1987 - December 31, 1998

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(11/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/12/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARIS CAPITAL STRATEGIES, LLC

CRD#: 327675 / SEC#:

Idaho

Registered Investment Advisory firm - (4/10/2025 Approved)

North Carolina

Registered Investment Advisory firm - (11/30/2023 Approved)

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Contact information

Main Address

Angier, NC

Mailing Address

Phone number

(919) 780-8395

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 8,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Steven R. Hoak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Ronald Hoak's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFETIME FINANCIAL, INC.

TLG ADVISORS, INC.

BROOKSTONE WEALTH ADVISORS, LLC

HORTER INVESTMENT MANAGEMENT, LLC

PRUDENTIAL RETIREMENT SERVICES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2012

Series 63

Date: 7/7/1987

Series 6

Date: 6/12/1987

Current Firm

ARIS CAPITAL STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARIS CAPITAL STRATEGIES, LLC

TRUST BUT VERIFY

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