Role at Private Advisor Group
- Title on Schedule A
- Chief Compliance Officer, Managing Director
- Control
- James Hooks is a control person of Private Advisor Group.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- James Hooks has held the filed role since July 2019.
The firm
Form ADV filed 30 September 2026
Career on record
James Hooks has been registered through Private Advisor Group since January 2019, and before that through LPL Financial LLC.
- Private Advisor Group, LLCCurrent– present · 8 yearsRock Hill, SC · Adviser representative · Firm CRD 155216
- LPL Financial LLCCurrent– present · 8 yearsFort Mill, SC · Adviser representative and broker · Firm CRD 6413
- Passed SIE · 2018
- Passed Series 66 · 2010
- LPL Financial LLC– · 14 yearsFort Mill, SC · Adviser representative · Firm CRD 6413
- Passed Series 9 and Series 10 · 2001
- Passed Series 63 and Series 24 · 1991
- Passed Series 4 · 1989
- Passed Series 7 · 1988
Registrations and exams
James Hooks has a current investment-adviser registration in South Carolina and has passed 8 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| South Carolina | Investment adviser representative | Approved | 15 January 2019 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 22 March 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 August 1991 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 20 July 2001 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 29 May 2001 |
| Series 24 | General Securities Principal Examination | 16 August 1991 |
| Series 4 | Registered Options Principal Examination | 16 February 1989 |
| SIE | Securities Industry Essentials Examination | 15 June 2018 |
| Series 7 | General Securities Representative Examination | 20 August 1988 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- James Alan Hooks
- CRD
- 1601278
- Registration status
- Investment adviser and broker registrations
- Office
- 157 East Main St, Ste 500, Rock Hill, SC 29730
- Firm bio
- privateadvisorgroup.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Private Advisor Group identifies Jim Hooks as chief compliance officer and describes his prior compliance roles at LPL Financial and Raymond James. Official firm biography/team page
Education
- He earned a BA in Business Administration from the University of South Florida.Official firm biography/team page
Common questions
Where does James Hooks work?
James Hooks has been Chief Compliance Officer, Managing Director of Private Advisor Group, LLC since July 2019, and is a control person of the firm.
Is James Hooks a financial advisor?
Yes. James Hooks has a current investment-adviser registration in South Carolina, through Private Advisor Group since January 2019, as of 17 October 2026.
How many years of experience does James Hooks have?
James Hooks has worked in the financial industry for 37 years as of 17 October 2026, counted from 12 March 1989, across 2 adviser firms.
What exams has James Hooks passed?
James Hooks has passed 8 licensing exams: the Series 7, Series 4, Series 63, Series 24, Series 9, Series 10, Series 66 and SIE. The earliest, the Series 7, was passed in August 1988.
Where did James Hooks work before Private Advisor Group?
Before Private Advisor Group, James Hooks was registered through LPL Financial LLC, June 2004 to June 2018.
Where is James Hooks based?
James Hooks’ registered office is in Rock Hill, SC.
Leadership at Private Advisor Group
- Franklin SmithChief Executive Officer
- Adam SchorrChief Financial Officer
- James PerhacsManaging Director, Chief Operating Officer
- John HylandExecutive Chair
- Robert MooreExecutive Chair
- Patrick SullivanExecutive Chair
- James SullivanManaging Director