Richard D. Swanner

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CRD#: 2756404

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Dean Swanner was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 9, 2017 - April 22, 2021

EVERHART ADVISORS

RIA

CRD#: 107091

DUBLIN, OH

Past

February 15, 2017 - December 5, 2019

NEWEDGE SECURITIES, LLC

CRD#: 10674

DUBLIN, OH

Past

December 22, 2016 - January 27, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

COLUMBUS, OH

Past

April 25, 2016 - December 5, 2016

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

DUBLIN, OH

Past

December 15, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

DUBLIN, OH

Past

December 15, 2015 - December 5, 2016

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DUBLIN, OH

Past

October 30, 2014 - October 28, 2015

MMC SECURITIES LLC

RIA

CRD#: 103846

WASHINGTON, DC

Past

August 8, 2014 - October 28, 2015

MMC SECURITIES LLC

CRD#: 103846

WASHINGTON, DC

Past

August 19, 1996 - July 15, 2014

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

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".

EVERHART ADVISORS

CRD#: 107091 / SEC#: 801-50786

RIA

Registered Investment Advisory firm - (12/21/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/28/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/16/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EVERHART ADVISORS

CRD#: 107091 / SEC#: 801-50786

RIA

Registered Investment Advisory firm - (12/21/1995 Approved)

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Contact information

Main Address

5200 Rings Road, Dublin, OH 43017

Mailing Address

Phone number

(614) 717-9705

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVERHART ADVISORS ADV PART 2A (9/12/2025)

Regulatory assets under management

Total Number of Accounts	5,483
AUM (Assets Under Management)	$ 1,874,701,457

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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Advisor Monitoring

Firm Stability Insights

Richard D. Swanner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWEDGE SECURITIES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

EVERHART ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2014

Series 63

Date: 11/22/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1997

Series 6

Date: 8/16/1996

Current Firm

EVERHART ADVISORS

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EVERHART ADVISORS

TRUST BUT VERIFY

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