James Alan Hooks

Current Employers

Employment History

• 06/2004 → 05/2018
  Lpl Financial, Llc.
  Fort Mill, SC
• 06/2018 → 12/2018
  Retired
  Fort Mill, SC
• 12/2018 → Present
  Lpl Financial Llc
  Fort Mill, SC
• 01/2019 → Present
  Private Advisor Group, Llc
  Fort Mill, SC

Previous Registrations

• 2004-06-29 → 2018-06-15
  Lpl Financial Llc
  Charlotte, NC
  San Diego, CA
  Fort Mill, SC
  San Diego, CA

Other Businesses

1. 1/2/2019 - No Business Name - Investment Related - Indian Shores, FL 33785 - Real Estate Rental - Owner - Started 11/14/2016 - 1 Hour Per Month - Property owner. 2. 1/2/2019 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/17/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 6/24/2019 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR/CCO - Started 12/19/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 12/2018. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2010-03-22
• S63 Uniform Securities Agent State Law Examination
  1991-08-16

Other Names

• Jim Hooks