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Mark Herbert Miller

One Capital Management, LLC

Westlake Village, CA

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Current Employers
One Capital Management, Llc

3075 Townsgate Road Suite 350, Westlake Village, CA 91361 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-03
CA RA APPROVED 2022-05-11
  • TX RA
    APPROVED_RES
    Since 2023-01-03
  • CA RA
    APPROVED
    Since 2022-05-11

Branch Locations

3075 Townsgate Road Suite 350, Westlake Village, CA 91361 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First Trust Portfolios L. P. Wheaton IL 01/2013 01/2022
One Capital Management, Llc Westlake Village CA 05/2022 Present
Unemployed Agoura Hills CA 01/2022 05/2022
  • 01/2013 → 01/2022
    First Trust Portfolios L. P.
    Wheaton, IL
  • 05/2022 → Present
    One Capital Management, Llc
    Westlake Village, CA
  • 01/2022 → 05/2022
    Unemployed
    Agoura Hills, CA
Previous Registrations
  • 2013-01-22 → 2022-02-02
    First Trust Advisors Lp
    Wheaton, IL
    Westlake Village, CA
    Wheaton, IL
    Agoura Hills, CA
  • 2010-11-15 → 2012-11-19
    Advanced Equities, Inc.
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-22
S63 Uniform Securities Agent State Law Examination 2010-01-22
  • S65 Uniform Investment Adviser Law Examination
    2010-10-22
  • S63 Uniform Securities Agent State Law Examination
    2010-01-22
Other Names
  • Mark Miller

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
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