James Franklin Parker
Professional Summary
James Franklin Parker, who also goes by Frank Parker, is a registered financial advisor currently at SWS PARTNERS, LLC located in Columbus, Ohio. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Frank Parker
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AHD, LLC | SWS PARTNERS, LLC | SWS INSTITUTIONAL ASSET MANAGEMENT LLC | SWS INSTITUTIONAL ASSET MANAGEMENT
Contact Information
Main Address
230 West Street Suite 500, Columbus, OH 43215Phone Number
(614) 670-5733# of Employees
6SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
519AUM (Assets Under Management)
$442,567,982Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2026 | Cover Page | Report |
| 01/28/2026 | Cover Page | Report |
| 04/07/2025 | Cover Page | Report |
| 05/15/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
AHD, LLC | SWS PARTNERS, LLC | SWS INSTITUTIONAL ASSET MANAGEMENT LLC | SWS INSTITUTIONAL ASSET MANAGEMENT
State Registrations and Notice Filings
(1/3/2017)
(12/6/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James Franklin Parker's CRS (Customer Relationship Summary).
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