Michael T. Parker

SWS PARTNERS

Columbus, OH 43201

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CRD#: 4587101

Professional summary

Michael Thomas Parker is a registered financial advisor currently at SWS PARTNERS, LLC located in Columbus, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The 1976 Club 3535 Commerce Rd, Orchard Lake, MI 48324, Director, Board of Directors. The 1976 Club oversees Orchard Lake St Mary's School Rowing Program, including operational budget and endowment formation/management. Start date: 7/25/2025 , Approximately 5 hours per month is spent on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas 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

May 31, 2022 - Present

SWS PARTNERS, LLC

Office #1: 985 N High Street Suite 220, Columbus, OH 43201

RIA

CRD#: 281838

Columbus, OH

Past

June 2, 2005 - October 10, 2008

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

November 20, 2002 - May 31, 2005

GREGORY J. SCHWARTZ & CO., INC.

CRD#: 7294

BLOOMFIELD HILLS, MI

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
(5/31/2022)

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 65

Date: 9/24/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 7/8/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/28/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 11/19/2002

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)

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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.

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Firm Stability Insights

Michael T. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

GREGORY J. SCHWARTZ & CO., INC.

Primary Firm SEC Registration

SWS PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2004

Series 63

Date: 12/6/2002

Series 87

Date: 7/8/2005

Series 86

Date: 6/28/2005

Series 7

Date: 11/19/2002

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

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