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SB

Samantha Bakke

ONE CAPITAL MANAGEMENT
Westlake Village, CA 91361
Some features on this profile are disabled
CRD#: 5793211
SB

Professional summary

Samantha Bakke, CFP®, who also goes by Samantha Rae Bakke, Samantha Rae Davis, Samantha Davis, Samantha Rae Rothrock, is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Westlake Village, California.

Samantha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Samantha has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Samantha Rae Bakke | Samantha Rae Davis | Samantha Davis | Samantha Rae Rothrock

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.
RENTAL PROPERTY, INV RELATED, MAGALIA, CA, 100% OWNERSHIP, START 5/31/2018, 2 HOURS PER MONTH, ZERO DURING TRADING. PISMO SUITES, INVT RELATED, PISMO BEACH, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 2/14/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY, INVT RELATED, PISMO BEACH, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 2/14/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, OWNER WITH SPOUSE. RENTAL PROPERTY, INVT RELATED, PISMO BEACH, 100% OWNERSHIP WITH SPOUSE, START DATE 2/14/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samantha Bakke'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 8, 2021 - Present

ONE CAPITAL MANAGEMENT, LLC

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

May 29, 2018 - April 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GROVER BEACH, CA
Past

May 29, 2018 - April 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
GROVER BEACH, CA
Past

October 1, 2012 - June 6, 2018

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICO, CA
Past

October 1, 2012 - June 6, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICO, CA
Past

September 11, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PARADISE, CA
Past

June 14, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PARADISE, CA

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
(4/8/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/7/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/25/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/13/2024
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: 8/22/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/12/2010
Investment Company Products/Variable Contracts 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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