Morristown-based RIA inks EVP, chief compliance officer

By Emily Bader
Morristown | Jan 8, 2019 at 1:09 pm

Private Advisor Group, a hybrid Registered Investment Advisor based in Morristown, announced Monday it has named Jim Hooks executive vice president and chief compliance officer.

“We are elated to add Jim to our organization,” Patrick Sullivan, managing director and current chief compliance officer of Private Advisor Group, said. “His depth of experience serving financial advisors in this capacity, coupled with his knowledge of regulatory and compliance issues and his ability to execute compliance programs, makes him the absolute perfect fit for this position and our firm at this time.”

In this role, Hooks will be responsible for managing compliance and oversight activities at the company, including building out its proprietary compliance technology.

Most recently, Hook served as senior vice president of compliance, legal and risk at LPL Financial. Before that, he was at Raymond James.

“This position could not match my passions better,” Hook said. “I am excited to continue to help advisors navigate the complexities of today’s regulatory environment while helping to shape a quickly evolving and growing firm like Private Advisor Group.”

Emily Bader | ebader@roi-nj.com | emilybader