Richard Milliken
Richard Milliken is a registered investment advisor at Sws Advisors, INC., based in Columbus, OH, with 27 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 561 clients with $60M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 1.75% |
| $500K - $750K | 1.50% |
| $750K - $1.0M | 1.25% |
| $1M+ | 1.00% |
Rates shown are for all assets except variable annuities, which have a separate schedule (1.00% up to $1M, 0.75% over $1M). Financial planning services may be provided to advisory clients for no additional fee.
Fee Estimator
Location
1900 Polaris Parkway, Suite 450, Columbus, OH, 43240
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard is a licensed insurance agent, spending nearly full-time hours on these activities, which he considers his primary business. He is also the Vice President of Operations for Centerpoint Stewardship, Inc., a registered representative of Omni Financial Securities, Inc., and the Vice President/insurance agent for SWS Risk Management Agency, selling life and health insurance products.
Employment History
Current Registrations
Sws Advisors, INC.
Omni Financial Securities, INC.Broker
Previous Registrations
Manex Advisors, INC
MML Investors Services, INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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