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MM

Mark H. Miller

ONE CAPITAL MANAGEMENT
Westlake Village, CA 91361
Some features on this profile are disabled
CRD#: 5742278
MM

Professional summary

Mark Herbert Miller, who also goes by Mark Miller, is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Westlake Village, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mark Miller

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 Mark Herbert Miller'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®
None

Experience

Current

May 11, 2022 - Present

ONE CAPITAL MANAGEMENT, LLC

Office #1: 3075 Townsgate Road Suite 350, Westlake Village, CA 91361
RIA
CRD#: 114861
Westlake Village, CA
Past

January 22, 2013 - February 2, 2022

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
AGOURA HILLS, CA
Past

January 22, 2013 - February 2, 2022

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

November 15, 2010 - November 19, 2012

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

January 13, 2010 - November 19, 2012

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL

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
(5/11/2022)
IAR
Texas
(1/3/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/22/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/22/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/25/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2010
General Securities Representative 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)
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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
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#: 114861Westlake Village, CA 91361

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