Jim Hooks
Jim Hooks is Managing Director, Chief Compliance Officer of Private Advisor Group, a hybrid RIA and OSJ of LPL Financial. Jim has over 30 years of experience in financial services and compliance. Prior to joining Private Advisor Group, Jim was Senior Vice President of Compliance, Legal and Risk at LPL Financial. During his 14 year tenure at LPL Financial, Jim serviced 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. Prior to LPL Financial, 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. Jim earned his Bachelor of Arts in Business Administration at the University of South Florida. He holds the CRCP designation and numerous security industry licenses.
1e. IA - Annual Review of Policies and Procedures (Intermediate)