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MARK HERBERT MILLER
MARK MILLER
CRD#: 5742278
IA
Investment Adviser
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Previous Broker
ONE CAPITAL MANAGEMENT, LLCCRD#: 114861 3075 TOWNSGATE ROAD
SUITE 350
WESTLAKE VILLAGE, CA 91361
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)2 FIRMS2013 - 2022 (9 years)IAONE CAPITAL MANAGEMENT, LLC (CRD# 114861)2022 - Present (2 years)
Disclosure(s)
View By:
11/12/2014
Customer Dispute
Settled
License(s)

State Registrations

IA
California 5/11/2022

IA
Texas 1/3/2023

Current Registration(s)
IA
ONE CAPITAL MANAGEMENT, LLC (CRD#:114861)
3075 TOWNSGATE ROAD SUITE 350, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 5/11/2022

Previous Registration(s)
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IA
01/22/2013 - 02/02/2022 FIRST TRUST ADVISORS LP (CRD#:107027) AGOURA HILLS, CA
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01/22/2013 - 02/02/2022 FIRST TRUST PORTFOLIOS L.P. (CRD#:28519) WHEATON, IL
IA
11/15/2010 - 11/19/2012 ADVANCED EQUITIES, INC. (CRD#:35545) CHICAGO, IL
B
01/13/2010 - 11/19/2012 ADVANCED EQUITIES, INC. (CRD#:35545)
FINRA expelled the firm on 08/18/2014
CHICAGO, IL
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.