Steven E. Milby

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CRD#: 4347570

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.

Steven Edward Milby was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2001. Steven had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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

August 21, 2018 - February 21, 2019

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Cincinnati, OH

Past

August 6, 2018 - February 7, 2019

SIMPLY MONEY ADVISORS

RIA

CRD#: 106619

CINCINNATI, OH

Past

March 18, 2010 - December 27, 2016

ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177

CINCINNATI, OH

Past

October 30, 2009 - December 31, 2009

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

CINCINNATTI, OH

Past

October 30, 2009 - December 31, 2009

WRP INVESTMENTS, INC.

CRD#: 7365

CINCINNATTI, OH

Past

June 1, 2009 - October 14, 2009

MORGAN STANLEY

RIA

CRD#: 149777

EDGEWOOD, KY

Past

June 1, 2009 - October 14, 2009

MORGAN STANLEY

CRD#: 149777

EDGEWOOD, KY

Past

September 30, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

EDGEWOOD, KY

Past

September 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

EDGEWOOD, KY

Past

January 1, 2008 - September 4, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEXINGTON, KY

Past

July 26, 2004 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

LEXINGTON, KY

Past

January 19, 2004 - August 6, 2004

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

April 26, 2001 - April 10, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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).

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 65

Date: 11/5/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/2001

General Securities Representative Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (12/11/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2025	Cover Page	Report
02/05/2025	Cover Page	Report

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

Steven E. Milby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIMPLY MONEY ADVISORS

ULTIMUS FUND DISTRIBUTORS, LLC

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/2008

Series 63

Date: 6/18/2001

SIE

Date: 12/27/2016

Series 7

Date: 4/25/2001

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

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