Jim Hooks Email & Phone Number
Managing Director, Chief Compliance Officer @ Private Advisor Group
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Jim Hooks Location
- Fort Mill, SC, US
Jim Hooks Work
- 2019 -now Managing Director, Chief Compliance Officer @
- 2004 -2018 Senior Vice President - Governance, Risk and Compliance @
- 1986 -2004 Vice President, Compliance @
Jim Hooks Education
- The Wharton School
Certified Regulatory Compliance Professional (CRCP)
2011 - University of South Florida
Bachelor of Arts, Business Adminstration
Jim Hooks Skills
- Securities
- Series 7
- Series 24
- FINRA
- Series 63
- Uniform Combined State Law
- Investments
- Investment Advisory
- Alternative Investments
- Mutual Funds
- Wealth Management
- Financial Services
- Risk Management
Jim Hooks Summary
- Jim Hooks, based in Fort Mill, SC, US, is currently a Managing Director, Chief Compliance Officer at Private Advisor Group. Jim Hooks brings experience from previous roles at LPL Financial and Raymond James. Jim Hooks holds a Certified Regulatory Compliance Professional (CRCP) @ The Wharton School. With a robust skill set that includes Securities, Series 7, Series 24, FINRA, Series 63 and more. Jim Hooks has 1 emails and 2 mobile phone numbers on RocketReach.
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