Executive Vice President, Chief Compliance Officer
Jim Hooks joined Private Advisor Group in January 2019 as Executive Vice President, Chief Compliance Officer.
Jim brings over 30 years of experience in financial services and compliance to Private Advisor Group. Most recently, Jim was Senior Vice President of Compliance, Legal and Risk at LPL Financial. During his 14 year tenure at LPL Financial, Jim served in various aspects of compliance and supervision. Primarily, he had leadership responsibility for the branch exam program with a team of more than 100 engaged employees. Under Jim’s leadership, the branch exam program was transformed for an overall positive impact, creating a comprehensive and robust program to appropriately identify and manage risk. At the same time, the team would often receive compliments from advisors for the approach and value provided during a branch exam. Prior to LPL, Jim had an invaluable 18-year career in compliance at Raymond James that spanned a variety of compliance and supervisory functions. He progressed through the ranks and served as Vice President of Compliance, where he had broad responsibilities for the compliance program.
Appreciating the opportunity to work with many advisors throughout his career, Jim helps advisors navigate the complexities of compliance and provides practical guidance to protect the interest of investors, advisors and the organization. As background, Jim’s mom was the head of the IRA department at a credit union when individual retirement accounts where first created and she always instilled the value of saving and investing. Jim recognizes the value advisors bring to their clients and is constantly looking for ways to make it easier for advisors to comply with requirements and do business that is in the best interest of their clients.
Jim is a member of the National Society of Compliance Professionals (NSCP)
He resides with his wife, Cheryl and their teenage daughter, Morgan, (who unlike Jim, can be the life of the party).
Education: BA in Business Administration, University of South Florida
Registrations held with LPL Financial: FINRA Series, 4, 7, 9, 10, 24, 63, 66
Designations: FINRA Institute at Wharton – Certified Regulatory and Compliance Professional (CRCP)