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SS

Susan H. Seiter

ONE CAPITAL MANAGEMENT
Plano, TX 75024
Some features on this profile are disabled
CRD#: 1315238
SS

Professional summary

Susan Hickman Seiter, CFP® is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Plano, Texas.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Susan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Susan Hickman Seiter's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

April 22, 2026 - Present

ONE CAPITAL MANAGEMENT, LLC

Office #1: 5501 Granite Parkway Suite 720, Plano, TX 75024
RIA
CRD#: 114861
Plano, TX
Past

July 2, 2012 - March 4, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
Frisco, TX
Past

July 2, 2012 - March 4, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
Frisco, TX
Past

January 6, 2012 - February 1, 2012

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

January 6, 2012 - February 1, 2012

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

February 16, 2011 - December 31, 2011

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

December 7, 2010 - December 31, 2011

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

June 1, 2009 - December 8, 2010

MORGAN STANLEY

RIA
CRD#: 149777
SOUTHLAKE, TX
Past

June 1, 2009 - December 8, 2010

MORGAN STANLEY

BD
CRD#: 149777
SOUTHLAKE, TX
Past

July 10, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
DALLAS, TX
Past

June 20, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
DALLAS, TX
Past

October 26, 1984 - February 2, 1988

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

BD
CRD#: 8297

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".
OC
ONE CAPITAL MANAGEMENT, LLC
FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA
Registered Investment Advisory firm - (11/5/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(4/22/2026)
IAR
Texas
(4/22/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/3/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/26/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/13/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/11/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/15/2008
General Securities Sales Supervisor - Options Module Examination

Current Firm

OC
ONE CAPITAL MANAGEMENT, LLC
FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA
Registered Investment Advisory firm - (11/5/2001 Approved)
PREMIUM
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Contact information

Main Address
3075 Townsgate Road Suite 350, Westlake Village, CA 91361
Mailing Address
Phone number
(805) 409-8150
Established
Firm type
Fiscal year end
# of Employees
80

SEC notice filing (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OCM FORM ADV PART 2A NOVEMBER 14, 2025 (11/14/2025)

Regulatory assets under management

Total Number of Accounts8,302
AUM (Assets Under Management)$ 7,002,823,758

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/12/2025
Cover Page
Report
01/17/2025
Cover Page
Report
04/16/2024
Cover Page
Report
02/12/2023
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.

Company Information

ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861Plano, TX 75024

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