James Parker, financial advisor Columbus OH
83 score

James Parker

CRD Number: 4462889
Current Firm: Sws Partners, LLC

James Parker (CRD# 4462889) is an Investment Advisor Representative working at Sws Partners, LLC in Columbus, OH and has over 11 years of experience in the finance industry.

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Company Name Location Dates Years
Sws Partners, LLC Columbus, OH Nov 2015 - Current 1
American Express Financial Advisors Columbus, OH May 2001 - Current 15
American Express Financial Advisors Columbus, OH Sep 2001 - Nov 2015 14
Ids Life Insurance Company Columbus, OH Sep 2001 - Nov 2015 14
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James F. Parker
Phone Number: 614-670-5733
Registered State(s):
  • OH
Current Firm Details
By the Numbers
  • Total Assets Under Management
    105
    MILLIONS
  • Total Number of Accounts
    599
    ACCOUNTS
  • Average Account Value
    $175,292
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

OH, PA

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BADGES
83

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