Richard Ryan Milliken

Employer firm

Sws Advisors, Inc. CRD 120054

$60.0M regulatory AUM 12 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2000 → Present
  Omni Financial Securities, Inc.
  Columbus, OH
• 09/2013 → Present
  Sws Advisors, Inc.
  Columbus, OH
• 06/2002 → Present
  Centerpoint Stewardship, Inc.
  Columbus, OH
• 05/2000 → Present
  Sws Risk Management Agency
  Columbus, OH

Previous Registrations

• 2003-01-23 → 2007-12-31
  Sws Advisors, Inc.
  Columbus, OH
  Columbus, OH

Other Businesses

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

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-06-25

Other Names

• Rich Milliken