James F. Parker

SWS PARTNERS

COLUMBUS, OH 43215

Some features on this profile are disabled

CRD#: 4462889

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Parker

Other business activities

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.

Business Ownership; Parker Asset Strategies Group; Owner; Financial Services; Columbs, OH 43209; 0 during trading hours./Parker Asset Strategies; Owner; Financial Services; Columbus Oh 43209; Not investment related; 4/15/2014.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin Parker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2017 - Present

SWS PARTNERS, LLC

Office #1: 230 West Street Suite 500, Columbus, OH 43215

RIA

CRD#: 281838

COLUMBUS, OH

Past

December 18, 2015 - December 31, 2016

SWS PARTNERS, LLC

RIA

CRD#: 281838

COLUMBUS, OH

Past

January 2, 2002 - November 12, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

COLUMBUS, OH

Past

December 14, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 14, 2001 - November 12, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

COLUMBUS, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SWS PARTNERS, LLC

AHD, LLC | SWS PARTNERS, LLC | SWS INSTITUTIONAL ASSET MANAGEMENT LLC | SWS INSTITUTIONAL ASSET MANAGEMENT

CRD#: 281838 / SEC#: 801-107254

RIA

Registered Investment Advisory firm - (2/16/2016 Approved)

Ohio

Registered Investment Advisory firm - (3/16/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(1/3/2017)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 1/7/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2001

General Securities Representative Examination

Current Firm

SWS PARTNERS, LLC

AHD, LLC | SWS PARTNERS, LLC | SWS INSTITUTIONAL ASSET MANAGEMENT LLC | SWS INSTITUTIONAL ASSET MANAGEMENT

CRD#: 281838 / SEC#: 801-107254

RIA

Registered Investment Advisory firm - (2/16/2016 Approved)

Ohio

Registered Investment Advisory firm - (3/16/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

230 West Street Suite 500, Columbus, OH 43215

Mailing Address

Phone number

(614) 670-5733

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWS WEALTH MANAGEMENT WRAP BROCHURE (3/28/2025)

SWS FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	559
AUM (Assets Under Management)	$ 359,732,579

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/07/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/06/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Andrew Lehman

INSPIRE ADVISORS, LLC

IAR

Columbus, OH

James Bowman

JANNEY MONTGOMERY SCOTT LLC

IAR

Columbus (grandview), OH

Cody Anderson

J.P. MORGAN SECURITIES LLC

IAR

UPPER ARLINGTON, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James F. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWS PARTNERS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SWS PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/7/2005

SIE

Date: 11/12/2015

Series 7

Date: 12/13/2001

Current Firm

SWS PARTNERS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SWS PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors