Unclaimed Profile

James Franklin Parker

SWS PARTNERS, LLC·COLUMBUS, Ohio

SIE, Series 7, Series 6624 years registeredSWS PARTNERS, LLC

230 WEST STREET, COLUMBUS, OH 43201CRD# 4462889Firm CRD# 281838

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Franklin Parker · COLUMBUS, OH

Registration

CRD #4462889 · SWS PARTNERS, LLC · 24 years registered

Brand Profile

Not yet started

Career History

SWS PARTNERS, LLC

Jan 2017 – present

SWS PARTNERS, LLC

Dec 2015 – Dec 2016

COLUMBUS, OH

AMERIPRISE FINANCIAL SERVICES, INC.

Jan 2002 – Nov 2015

COLUMBUS, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · January 2, 2002

Years registered · 24

Disclosure History

2007Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SWS PARTNERS, LLC

CRD 281838 · SEC 801-107254

AUM

$354M

Regulatory assets under management

Employees

579 client accounts

Services offered by SWS PARTNERS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SWS PARTNERS, LLC →

Introduction

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Frequently Asked Questions

What services does James Franklin Parker offer?

James Franklin Parker specializes in Financial Planning, Investment Management, Retirement Planning. Contact their office in COLUMBUS, Ohio for a consultation.

What are James Franklin Parker's credentials?

James Franklin Parker is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Franklin Parker located?

James Franklin Parker is based in COLUMBUS, Ohio, working with SWS PARTNERS, LLC. Their office serves clients in the COLUMBUS metropolitan area and surrounding communities.

How does James Franklin Parker charge for services?

James Franklin Parker's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SWS PARTNERS, LLC?

SWS PARTNERS, LLC has approximately 5 employees and manages $354M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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