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RIA / WealthAdvisor25 years in industry

JAMES FRANKLIN PARKER

Advisor at SWS PARTNERS, LLC

COLUMBUS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:55c5c37e-0bb0-29da-c416-90881eb66288

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Jan 2, 2002 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

James Franklin Parker

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SWS PARTNERS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 7, 2005
First registration: Jan 2, 2002
Dual registered: no
Other names: FRANK PARKER
IAPD individual key: 4462889

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SWS PARTNERS, LLC	Independent wealth	Jan 3, 2017	n/a	yes	COLUMBUS, OH	Current employment
SWS PARTNERS, LLC	Independent wealth	Dec 18, 2015	Dec 31, 2016	no	COLUMBUS, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 2, 2002	Nov 12, 2015	no	COLUMBUS, OH\|COLUMBUS, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	SWS PARTNERS, LLC	Nov 12, 2015	Dec 18, 2015	36	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:281838:OH:2015-11-10	Nov 12, 2015	Dec 18, 2015	COLUMBUS, OH	Firm change

Relationships

Registered with (2)

→ SWS PARTNERS, LLCRegistered adviserregistration: previous registration
Dec 18, 2015 to Dec 31, 2016factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 2, 2002 to Nov 12, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55c5c37e-0bb0-29da-c416-90881eb66288
First observed: Jan 2, 2002
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES FRANKLIN PARKER

Advisor at SWS PARTNERS, LLC

COLUMBUS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:55c5c37e-0bb0-29da-c416-90881eb66288

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SWS PARTNERS, LLC

Independent wealth

Jan 3, 2017

n/a

yes

COLUMBUS, OH

Current employment

SWS PARTNERS, LLC

Independent wealth

Dec 18, 2015

Dec 31, 2016

COLUMBUS, OH

Previous registration

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Jan 2, 2002

Nov 12, 2015

COLUMBUS, OH|COLUMBUS, OH

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

AMERIPRISE FINANCIAL SERVICES, LLC

SWS PARTNERS, LLC

Nov 12, 2015

Dec 18, 2015

Firm change

Other

Team

Left

Joined

From

Kind

6363:281838:OH:2015-11-10

Nov 12, 2015

Dec 18, 2015

COLUMBUS, OH

Firm change