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Cheryl A.

Hooks

(770) 722-1298
cherylhooks@comcast.net

Profile:

Knowledgeable senior government risk and compliance professional with extensive


experience with OSJ supervisory principal duties as well as branch operations and
relationship management; expertise in the financial services industry. Approach to
compliance & risk management has been enhanced from deep understanding of operations
and the sales side of the business. Combines an analytical approach with market insight,
in order to establish & implement practical protocol.

Work History:
VP of Compliance, Financial Resources Group Investment Services LLC- April 2014- December 2016
Financial Resources Group Investment Services, a branch of LPL Financial, provides OSJ supervision,
program management and sales management for bank, credit unions, hybrid and RIA investment programs.
Registered representatives are registered with LPL Financial as their broker/dealer. Through LPL Financial
OSJ compliance software, approve business and manage daily compliance operation for all of our
investment advisors; providing them with compliance guidelines, review of daily email and trade blotter for
client suitability, develop and update compliance manuals as needed, review and approve correspondence,
review and approve non cash compensation and outside business activities, review and approve alternative
investments, index, fixed and variable annuity business, 1035 exchanges, UITs and structured notes.
Appointed by LPL to be the lead option principle for office. Responsible for researching, documenting and
reporting trade errors, advisor front running, solicitation of low price securities, suitability of switches and
advertising/seminar review. Provided input to LPL for improvements on system software and branch
rollouts. Worked closely with business development on their recruiting efforts; by meeting with potential
new program managers and advisors to obtain a better understand of their business needs and by reviewing
CRD/credit review reports. Coordinate and facilitate the firms annual compliance training program along
with other product specific training modulus. Developed and nurture excellent working relationships with
our advisors, vendors and home office staff.
President, Hooks Consulting LLC - August 2013 Present
Financial services contract compliance consultant.
FINRA, Arbitrator, June 2002 Present
Registered Representative, Way Financial Group July 2008 April 2014
Assist with construction of client portfolios and quarterly reviews.
Private Contractor, LPL Financial Services, September 2013 December 31, 2013
Outsourced- Supervisor for Alternative Investment trades for GRC Department.
VP of Annuity Marketing & Operations, Adams-Moore LLC September 2012 August 2013
Manage office staff & maintain working relationships with outside vendors. Partner with vendors on product
support, intricate case design and software enhancements. Assist in retention of advisors through innovative
sales and marketing ideas, product training and consult with advisors on relative compliance issues.
SVP/Financial Services Group, Management Advisors International March 2011- September 2012
Recruiter, for Independent Broker Dealers, Registered Investment Advisors and Asset Management Firms.
Conduct interviews, consult on business opportunities, mediate salary and benefit packages.
AVP /Operations Manager, Raymond James and Associates, March 1998- June 2004

Branch Supervisory Principal, responsible for all operational and administrative functions of branch office
(35 Reps & 10 support staff), MARS, AML, Advertising, 1035 Exchanges, Sales Practice Reviews,
approval of new accounts, outside business, trade reviews , outgoing and incoming correspondence,
branch deposits & disbursements (Signature Guarantee up to $250,000), facilitate Internal and FINRA
audits, train and supervised branch staff, conduct performance reviews, created and maintained branch
budget, allocate bonuses for support staff , negotiate office and equipment leasing, coordinate with business
development on home office visits, facilitate annual compliance meeting, monitored continuing education,
strategized and coordinate broker transitions (both incoming and outgoing), assist in weekly sales meetings,
coordinate wholesaler visits, appointed as the branch technical liaison and fostered effective working
relationships with home office EVPs, retail clients, FAs and product providers.
Municipal Bond Trader/ Assistant Branch Manager, GMS Group, L.L.C. / Gruntal & Co., L.L.C.,
August 1997 March 1998.
Daily bidding, trading, reconciling, and order taking of corporate, municipal and junk bonds, assist in
preparation of red herring fillings, maintain inventory reports and provide analytical research for new issues.
RFA/ Morgan Stanley Dean Witter 1995 1997.
Contacted and met with clients as needed to help gather information and consult on portfolio
recommendations, client presentations, portfolio reviews & seminars.

Licenses: Series 7, 8, 24, 63, 65 (previously held 3, 31)


SC Insurance license
Volunteer Activities:
Co- Chair of Springfield Elementary School Advisory Council (2012-2014)
York County Court Appointed Guardian Ad Litum (April 2013-present)

Member of Architectural Committee of the Springfield POA (January 2009 present)