Michael Thomas Parker
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
24 years in the financial services industry
Current & Past Employments
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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
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
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jul 2005About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas Parker's CRS (Customer Relationship Summary).
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