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Crcp Jim Hooks
Crcp Jim Hooks
Managing Director, Chief Compliance Officer | Private Advisor Group
Fort Mill, South Carolina, United States
Crcp Jim Hooks
Summary
Jim Hooks is an accomplished Managing Director and Chief Compliance Officer at Private Advisor Group, known for his strategic leadership in compliance and risk management. With a robust background in alternative investments and financial services, he combines an entrepreneurial mindset with a commitment to innovation and continuous improvement. Jim has developed a reputation as a thought leader in his field, focusing on corporate transformation and talent development. His experience spans over three decades, including significant roles at LPL Financial and Raymond James, where he honed his expertise in governance, risk, and compliance. He is a Registered Principal and an Investment Advisor Representative, emphasizing the importance of compliant client advice. Jim's educational credentials include a Bachelor's degree from the University of South Florida and a certification from The Wharton School. His passion for enhancing the advisor experience is evident in his hands-on approach to compliance and system design.
Crcp Jim Hooks
Work Experience
Managing Director, Chief Compliance Officer at
Private Advisor Group
January 2019 - Present
Senior Vice President - Governance, Risk & Compliance at
LPL Financial
January 2004 - January 2018
Vice President, Compliance at
Raymond James Financial, Inc.
January 1986 - January 2004
Crcp Jim Hooks
Education
University of South Florida, Bachelor Of Arts, Business Adminstration
Wharton School, Certified Regulatory Compliance Professional (Crcp)
January 2011
Frequently Asked Questions about Crcp Jim Hooks
What is Crcp Jim Hooks email address?
Crcp Jim Hooks's primary email address is *********@privateadvisorgroup.com. To view the full verified email and additional contact details, sign up for free with Muraena.
What company does Crcp Jim Hooks work for?
Crcp Jim Hooks is a Managing Director, Chief Compliance Officer at Private Advisor Group, a company specializing in Functions related to depository banking.
Where Crcp Jim Hooks graduated from?
Crcp Jim Hooks holds a degree in from University of South Florida.
How can I directly contact Crcp Jim Hooks?
To contact Crcp Jim Hooks directly, you can use the email address *********@privateadvisorgroup.com. Complete contact information is available upon registration with Muraena.
Who is Crcp Jim Hooks?
Jim Hooks is an accomplished Managing Director and Chief Compliance Officer at Private Advisor Group, known for his strategic leadership in compliance and risk management. With a robust background in alternative investments and financial services, he combines an entrepreneurial mindset with a commitment to innovation and continuous improvement. Jim has developed a reputation as a thought leader in his field, focusing on corporate transformation and talent development. His experience spans over three decades, including significant roles at LPL Financial and Raymond James, where he honed his expertise in governance, risk, and compliance. He is a Registered Principal and an Investment Advisor Representative, emphasizing the importance of compliant client advice. Jim's educational credentials include a Bachelor's degree from the University of South Florida and a certification from The Wharton School. His passion for enhancing the advisor experience is evident in his hands-on approach to compliance and system design.
Crcp`s contact details
*********@privateadvisorgroup.com
Colleagues
Chief Executive Officer
Chief Operating Officer
Chair of The Board of Directors
Chief Financial Officer