Unclaimed Profile

James Alan Hooks

PRIVATE ADVISOR GROUP, LLC·MORRISTOWN, New Jersey

SIE, Series 4, Series 7, Series 9, Series 10, Series 24, Series 63, Series 66Clean record22 years registeredPRIVATE ADVISOR GROUP, LLC

305 MADISON AVENUE, MORRISTOWN, NJ 07960CRD# 1601278Firm CRD# 155216

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Alan Hooks · MORRISTOWN, NJ

Registration

CRD #1601278 · PRIVATE ADVISOR GROUP, LLC · 22 years registered

Brand Profile

Not yet started

Career History

PRIVATE ADVISOR GROUP, LLC

Jan 2019 – present

LPL FINANCIAL LLC

Jan 2019 – present

LPL FINANCIAL LLC

Jun 2004 – Jun 2018

FORT MILL, SC

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 9

Series 10

Series 24

Series 63

Series 66

Registration record

First registered · June 29, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PRIVATE ADVISOR GROUP, LLC

CRD 155216 · SEC 801-72060

AUM

$35.3B

Regulatory assets under management

Employees

746

129,657 client accounts

Services offered by PRIVATE ADVISOR GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at PRIVATE ADVISOR GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does James Alan Hooks offer?

James Alan Hooks specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MORRISTOWN, New Jersey for a consultation.

What are James Alan Hooks's credentials?

James Alan Hooks is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Alan Hooks located?

James Alan Hooks is based in MORRISTOWN, New Jersey, working with PRIVATE ADVISOR GROUP, LLC. Their office serves clients in the MORRISTOWN metropolitan area and surrounding communities.

How does James Alan Hooks charge for services?

James Alan Hooks's firm is compensated through percentage of aum, hourly charges, subscription fees, other: solicitor/referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRIVATE ADVISOR GROUP, LLC?

PRIVATE ADVISOR GROUP, LLC has approximately 746 employees and manages $35.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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