Richard R. Milliken
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 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Ryan Milliken's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2013 - Present
SWS ADVISORS, INC.
Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240April 10, 2000 - Present
OMNI FINANCIAL SECURITIES, INC.
Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240January 23, 2003 - December 31, 2007
SWS ADVISORS, INC.
May 3, 1999 - April 3, 2000
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/27/2019)
(12/21/2020)
(4/10/2000)
(2/19/2013)
(2/26/2016)
(8/5/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/14/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
SWS ADVISORS, INC.
CRD#: 120054 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 580 |
| AUM (Assets Under Management) | $ 50,618,150 |
Red Flags
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