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Steven Robert Cowley

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 2005-04-13
CA RA APPROVED 2004-01-21
  • TX RA
    APPROVED_RES
    Since 2005-04-13
  • CA RA
    APPROVED
    Since 2004-01-21

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
One Capital Management, Llc Westlake Village CA 01/2004 Present
Previous Registrations
  • 2004-05-19 → 2008-04-17
    Cascade Financial Management, Inc.
    Denver, CO
    Denver, CO
  • 2003-01-03 → 2004-01-15
    Oppenheimer & Co. Inc.
    Los Angeles , CA
  • 1996-03-18 → 2003-01-03
    Cibc World Markets Corp.
    Los Angeles, CA
Other Businesses

PARTNER WITH ONE CAPITAL MANAGEMENT, WHERE MY SERIES 65 IS MAINTAINED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-31
S63 Uniform Securities Agent State Law Examination 1995-11-28
  • S65 Uniform Investment Adviser Law Examination
    1996-01-31
  • S63 Uniform Securities Agent State Law Examination
    1995-11-28

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
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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