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Richard Ryan Milliken

SWS ADVISORS

COLUMBUS, OH

·CRD# 3217681·27 years experience

Professional Summary

Richard Ryan Milliken, who also goes by Rich Milliken, is a registered financial advisor currently at SWS ADVISORS, INC. located in Columbus, Ohio and OMNI FINANCIAL SECURITIES, INC. located in Columbus, Ohio. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6, Series 28 and Series 26...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Rich Milliken

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

27 years in the financial services industry

Current & Past Employments

SWS ADVISORS, INC.·CRD# 120054

RIA

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

February 19, 2013 - Present

OMNI FINANCIAL SECURITIES, INC.·CRD# 29320

BD

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

April 10, 2000 - Present

SWS ADVISORS, INC.·CRD# 120054

RIA

Columbus, OH

January 23, 2003 - December 31, 2007

MML INVESTORS SERVICES, LLC·CRD# 10409

BD

Springfield, MA

May 3, 1999 - April 3, 2000

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Current Firm

SA

SWS ADVISORS, INC.

MANEX ADVISORS, INC | SWS ADVISORS, INC.

CRD#: 120054

Arizona

Registered Investment Advisory firm - Arizona (3/4/2016 Approved)

Florida

Registered Investment Advisory firm - Florida (6/27/2019 Approved)

Illinois

Registered Investment Advisory firm - Illinois (5/5/2016 Approved)

Kentucky

Registered Investment Advisory firm - Kentucky (12/31/2020 Terminated)

Maryland

Registered Investment Advisory firm - Maryland (12/21/2017 Terminated)

Ohio

Registered Investment Advisory firm - Ohio (3/5/2008 Approved)

Pennsylvania

Registered Investment Advisory firm - Pennsylvania (2/25/2016 Approved)

Texas

Registered Investment Advisory firm - Texas (10/25/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

Phone Number

(614) 438-5300

# of Employees

7

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

570

AUM (Assets Under Management)

$59,960,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Richard Ryan Miliken is a licensed insurance agent. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. SWS Advisors Inc. always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of SWS Advisors Inc. in such individual's capacity as an insurance agent. Richard Ryan Milliken spends 45 hours per week of his time on those activities and considers them his primary business Richard Ryan Miliken is the Vice President of Operations for Centerpoint Stewardship, Inc. From time to time, he may offer clients advice or products from those activities and clients should be aware that these services may involve a conflict of interest. SWS Advisors Inc. always acts in the best interest of the client and clients are in no way required to the services of any representative of SWS Advisors Inc. in connection with such individual's activities outside of SWS Advisors Inc. Richard Ryan Miliken is a registered representative of Omni Financial Securities, Inc. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. SWS Advisors Inc. always acts in the best interest of the client, including with respect to the sale of commissionable products to advisory clients. Clients are in no way required to purchase such services or products through any representative of SWS Advisors Inc. in such individual's outside capacities. SWS Risk Management Agency - NOT investment related, Columbus, OH, insurance agency, Vice President/insurance agent, May 2000, 8, 8, selling life and health insurance products and attend Board meetings

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State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

IAR

Florida
(6/27/2019)

RR

North Carolina
(12/21/2020)

RR

Ohio
(4/10/2000)

IAR

Ohio
(2/19/2013)

IAR

Pennsylvania
(2/26/2016)

IAR

Texas
(8/5/2025)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1999About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1999About the Series 6 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Sep 2007About the Series 28 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Oct 2002About the Series 26 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Richard Ryan Milliken's CRS (Customer Relationship Summary).

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