LeadershipWe're more than just suits.
The relationship between independent advisors and their brokers is often lacking, and advisors can feel isolated and left to fend for themselves. We created Client One to provide independent advisors access to industry-leading resources because you deserve to truly know the people you work alongside.
The Client One team has the background and depth of knowledge not common in brokers this size. We will help you every step of the way. It’s all about utilizing our experience and building relationships here. That’s what makes us different, and that’s what makes us better.
With Client One, we care about you and your success matters.
Meet Your Team
A veteran of the broker-dealer business, Jeff Eisenhauer has been working in the financial services industry for more than 20 years in roles ranging from trading and operations to portfolio management, options, securities, asset management and retirement planning.
With his career spanning many subsets of the industry, Jeff has created and operated a broker-dealer firm from its inception. This has given him an unparalleled perspective on the business and an unrivaled aptitude for running broker-dealers in a client-centric way.
Allison is driven and dedicated to doing her job to the best of her ability. She believes in giving 110-percent in working for her advisors and strives to go beyond their expectations for great service. The client is always Allison’s number-one priority because she considers all advisors extended partners of Client One Securities, working together to do what is best.
Her vision for Client One includes becoming the most successful, compliant broker-dealer and registered investment advisor in the country, setting the standard for the securities and advisory industry on how to use today’s technology to meet the compliance demands of FINRA, the SEC and individual states.
Having been active in the securities industry for almost 20 years, LaNelle has a thorough understanding of the financial industry. Her wirehouse and brokerage experience, as well as her in-depth knowledge of FINRA and SEC regulations makes her an invaluable knowledge base for problem solving and resolution.
LaNelle is determined to form strong, trusting relationships with her advisors so she can better understand potential issues they may face and discern how to best address them. She understands the value of individual attention, and strives to personalize her approach and working style to cater to reps. Whether it’s streamlining business and workflows, or redirecting paperwork, LaNelle’s goal is to always do what she can to make advisors’ lives easier and more efficient.
An experienced and adaptable professional, Courtney brings more than 10 years of back-office experience with commissions and accounting to Client One Securities. She has worked in many facets of the back office for VSR Financial Services, and uses her experience and pragmatic personality to objectively improve processes and practices and make them more efficient.
Courtney is a dependable and personable asset to the team and believes her laid back personality allows her to better cross-train within her department. It also allows her to build relationships and partnerships with existing and new advisors as they grow their businesses. She is attentive to advisors’ needs and concerns, as well as proactive, and is dedicated to providing a high level of service and personalized attention to every advisor she works with.
As a client relations specialist, Nyisha is dedicated to being efficient and effective when processing paperwork. She is a dependable and hardworking team player, who is always willing to go the extra mile for her colleagues, as well as the advisors she works with. Because of this, she is able to help ensure paperwork is in good order and completed in a timely manner.
Nyisha is diligent about ensuring processes run smoothly for everyone involved, including representatives, custodians and third-party money managers, and is able to accomplish fluid paperwork processing and onboarding by being attentive, detailed and agile.
As a client relations specialist, Michael offers support and solutions to help advisors that include onboarding, acting as a communication liaison for external IT teams in regards to Client One’s cloud platform and assisting with account follow up on behalf of clients.
He is responsible for opening brokerage and shell accounts for IRAs and non-qualified direct mutual fund business, processing account updates, setting up standing and periodic instructions for IRA distributions, and broker-dealer changes. Michael also helps with advisors, ensuring their experience with Client One is positive.
As the registration and commissions specialist, Doris assists the registration and commissions manager. Her responsibilities include submitting advisors’ appointment paperwork to various insurance carriers and following up on the statuses, sending out fingerprint cards to advisors’ offices, informing advisors about continuing education, processing daily DST file downloads, entering commission checks into Xtiva, filing electronic copies of checks and ACHs on the cloud and processing mail.
Currently, she is also an integral part of the client specialist team, assisting in coordinating the transition of client accounts to the broker-dealer for new and existing advisors. Doris performs data entry, enters new account forms, follows up on outstanding items with advisors, scans and indexes departmental forms and responds to advisor inquiries. Her attention to detail is impressive, which her team—and advisors—have come to rely on and appreciate.
As a registered options principal, Tim oversees all the options trading for Client One within its client accounts. He also performs reviews of daily blotters and performs outside audits of other brokers.
To best serve his advisors, Tim holds his Series 4, 24, 7, 63, 65 and 66 registrations.
As the Registration and Commissions Specialist, Stacy assists the Registration and Commissions Manager. Her responsibilities include submitting advisors’ appointment paperwork to various insurance carriers and following up on the statuses, sending out fingerprint cards to advisors’ offices, informing advisors about continuing education, downloading daily DST files, entering commission payments/transactions into the commission system and archiving electronic copies of checks and ACHs on the cloud. She uses her prior experience in the industry to help identify issues and improve processes for the advisors she works with. She looks forward to growing her knowledge in the business and being a key asset to the team.
With 30+ years of experience in the securities industry, Sandy’s overall focus today is on helping advisors navigate regulations and ensure they’re compliant. Her commitment to advisors is to provide great service helping them build their business all while staying within the rules of compliance.
Her patient, calm approach reinforces her confidence in her day-to-day responsibilities. She prides herself on helping advisors who want to conduct business the right way and who appreciate the rules are there with good intentions, aiding in their selling abilities.
With nearly a decade in the financial industry, Joel prides himself on helping to provide clear and concise solutions to registered reps and investment advisor reps so they may make informed decisions. His commitment to his ongoing advancement and depth in the industry are exemplified by his various registrations.
His calming demeanor and commitment to building client-centered relationships builds trusting relationships with registered reps as well as investment advisor reps. Joel most enjoys his work when he is interacting with reps. His friendly and easygoing nature makes him a credible colleague and quite simply, easy to work alongside.
As new business recruiter and onboarding supervisor, Jake believes his biggest responsibility is to be a resource to the advisors he works with. Jake is a team player, and with more than 13 years of experience in the financial services industry, involving sales, planning, service, operations, trading and OSJ operations, he is able to provide effective and efficient support to advisors.
Jake understands building relationships with advisors is the most important part of the business and to do so is an accessible, open communicator who stays abreast of industry trends and products. His foundational relationships not only enable him to understand each advisor’s business and provide them with proactive solutions, but allow him to cohesively work with them and their teams to solve their biggest challenges.
As an operations principal, Amy provides supervisory support conducting oversight of all introducing broker-dealer activities. She works diligently to ensure the responsibilities of the operations team are executed and processed efficiently for assigned advisors and their offices.
She also oversees mutual fund direct business, variable annuity business, new accounts and trade blotters on a daily basis. Amy also assists with field branch audits.
Tad’s emphasis lies in day-to-day operations of Client One, specifically focusing on the brokerage side. He is responsible for setting up brokerage accounts, processing ACATs, ACH set ups, IRA distributions, online access and answering inquires that come in to the team.
Like many of his fellow team members, Tad thrives when he’s wearing many hats and handling multiple tasks simultaneously. He takes pride delivering exceptional customer service and innovative solutions to our advisors on a daily basis.
Experienced in retirement and estate planning with a deep understanding for compliance, Lance is dedicated to helping the advisors with whom he works with being compliant in their dealings with clients. Having worked on both sides of the desk as well as with different sizes of broker dealers, he understands the commonly faced obstacles and attempts to offer advisors clear resolutions.
Lance is a veteran of the industry, and strives to serve others as a valuable resource. His forward thinking attitude is what keeps him and his advisors ahead of the game in terms of compliance and assists his advisors with avoiding unwanted fees.
As a Retirement Income Certified Professional, Linda possesses great organizational skills and ability to maximize efficiencies. She’s resourceful, educated, smart and customer-service oriented, giving her the ability to help advisors serve their clients better while protecting advisors’ interests at the same time.
Linda goes to great lengths to answer questions and find solution-based strategies as soon as possible when situations arise. Always looking to assist, Linda aims to make overall suggestions that make the advisor’s job easier. She enjoys being part of a group of people who share what they know in order to enlarge the pool of knowledge.
Having worked in the financial services industry most of her career, Ana wears many hats as a client relations specialist. She performs various duties that enhance the rep’s overall experience when it comes to back-office support.
Ana strives to provide the best possible service by being dependable, hard working and focused. She is always willing to deliver exceptional customer service and is quick to address any issues that may arise. Ana is the go-to person for ensuring paperwork is filed in good order and in a timely manner. She takes those detailed steps so our advisors know everything is taken care of properly.
Kelly fits in as part of the Client One Securities family. He gives advisors his full, undivided attention, and uses his strong insurance background and expertise in advisory services, to guide Client One’s advisors every step along the way of their journey. He knows Client One depends on him to find the right solutions for specific situations, which is why he addresses every concern in a customized manner.
Kelly forms close relationships starting from the initial conversation he has with everyone he meets. He is attentive and considerate, and works hard to coordinate the auditing of all required financial statements, related disclosures, and other client deliverables—he’s consistently proficient in applying his auditing skills, and that’s why people love him. He ensures advisors stay aligned with Client One Securities guidelines—but he does so while minimizing disruption to firms. Like all Client One employees, he also puts an emphasis on customer service. Close relationships are the cornerstone of Kelly’s business approach.
Kelly attended the College of New Jersey and has worked in the financial world for many years. He holds his Series 24 principal’s license. A registered investment advisor working toward his Chartered Financial Consultant® (ChFC®) designation, Kelly is also a licensed life, long-term care, home and auto commercial insurance agent.