Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alan Hooks is a registered representative and investment advisor representative with Private Advisor Group, LLC, a firm located in Morristown, NJ. James has been in the financial services industry since March 12, 1989, and has held previous positions with LPL Financial LLC, UVEST Financial Services Group, Inc., and Raymond James & Associates, Inc. James has passed several industry exams, including the Series 7, Series 10, Series 24, Series 63, and Series 66 exams. James also holds the SIE exam.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Solicitation/referral
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor/referral fees
1
2
NJ
01/15/2019 - Present
Private Advisor Group, LLC (MORRISTOWN NJ)
SC
06/29/2004 - 06/15/2018
LPL FINANCIAL LLC (FORT MILL SC)
NC
07/24/2009 - 04/24/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
FL
08/25/1988 - 06/30/2004
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
BOTH
Issued 03/22/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/16/1991
Series 24 - General Securities Principal Examination
BC
Issued 02/16/1989
Series 4 - Registered Options Principal Examination
BC
Issued 06/15/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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