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Crcp Jim Hooks

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Crcp Jim Hooks

Managing Director, Chief Compliance Officer | Private Advisor Group

Fort Mill, South Carolina, United States

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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.

General

Specialist

Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

Leadership Development

Emerging Technologies

Organisational experience

Corporate Experience

Crcp Jim Hooks

Work Experience

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Managing Director, Chief Compliance Officer at

Private Advisor Group

January 2019 - Present

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Senior Vice President - Governance, Risk & Compliance at

LPL Financial

January 2004 - January 2018

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Vice President, Compliance at

Raymond James Financial, Inc.

January 1986 - January 2004

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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

mail

*********@privateadvisorgroup.com

Colleagues

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Frank Smith

Chief Executive Officer

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Jim Perhacs

Chief Operating Officer

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Cfp John Hyland

Chair of The Board of Directors

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Adam Schorr

Chief Financial Officer

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