Managing Director, Chief Compliance Officer
Jim Hooks is a managing director and Chief Compliance Officer at Private Advisor Group. In this role, he manages risk and drives value for advisors and their clients through innovation, strategic planning, and continuous process improvement. He brings over 30 years of experience in financial services to the team.
Prior to joining Private Advisor Group, Jim was the Senior Vice President of Compliance, Legal, and Risk at LPL Financial. He also was the Vice President of Compliance at Raymond James.
Jim earned a Bachelor of Arts in Business Administration from the University of South Florida. He holds FINRA series 4, 7, 9, 10, 24, 63, and 66 securities registrations and has a designation from the FINRA Institute at Wharton – Certified Regulatory and Compliance Professional (CRCP).
He is a member of the National Society of Compliance Professionals (NSCP), where he participates on panels and connects with peers throughout the industry.
Jim lives near Charlotte, NC and outside of work he enjoys spending time with his family, jogging, and traveling to the beach and mountains.