Providing more than five decades of superior service
Providing more than five decades of superior service
WELCOME TO ONESCO
Where being independent doesn't mean being alone
Since our founding in 1968, ONESCO has taken pride in offering financial professionals independence, value and stability.
At ONESCO, we believe in:
Promoting Flexibility
Extraordinary Support
Delivering Uncommon Stability
Let's have a conversation about working together.
WELCOME TO ONESCO
Where being independent doesn't mean being alone
Since our founding in 1968, ONESCO has taken pride in offering financial professionals independence, value and stability.
At ONESCO, we believe in:
Promoting flexibility
Supporting you with extraordinary value
Delivering uncommon stability
Let's have a conversation about working together.
WHY ONESCO?
Freedom, flexibility, and choice
Experience a comprehensive platform built to ensure your independence.
Extensive Products
ONESCO Products
Mutual Funds
Annuities & Variable Life
Group Retirement Plans
Unit Investment Trusts
Alternative Investments
529 College Savings Plans
And, more!
Mutual Funds
Annuities & Variable Life
Group Retirement Plans
Unit Investment Trusts
Alternative Investments
529 College Savings Plans
And, more!
ONESCO Products
Mutual Funds
Annuities & Variable Life
Group Retirement Plans
Unit Investment Trusts
Alternative Investments
529 College Savings Plans
And, more!
Advisory Services
OMNICO Platform
Modeling & Rebalancing Tools
Block Trading, Variance, & Drift Reporting
Automatic Billing
Consolidated Statements
Performance Reports
Client Portal
Financial Planning Software
ONIMCO Platform
Modeling & Rebalancing Tools
Block Trading, Variance, & Drift Reporting
Automatic Billing
Consolidated Statements
Performance Reports
Client Portal
Financial Planning Software
Modeling & Rebalancing Tools
Block Trading, Variance, &
Drift Reporting
Automatic Billing
Consolidated Statements
Performance Reports
Client Portal
Financial Planning Software
Clearing Services
ONESCO Trade Desk
Clearing through Pershing LLC
Full-service Securities Trading
Dedicated & Expert Fixed Income Desk
Cash Management Services
Banking Services
High-Net-Worth Programs
Clearing through Pershing LLC
Full-service Securities Trading
Dedicated & Expert Fixed
Income Desk
Cash Management Services
Banking Services
High-Net-Worth Programs
ONESCO Trade Desk
Clearing through Pershing LLC
Full-service Securities Trading
Dedicated & Expert Fixed Income Desk
Cash Management Services
Banking Services
High-Net-Worth Programs
What differentiates ONESCO from other brokers/dealers?
See how our standards stack up against other competitors in the marketplace.
*We are proud of over 50 years of delivering uncommon stability in uncertain times.
WORDS FROM OUR CEO
“If you’ve ever been with a broker/dealer that has been sold or merged into a larger entity, then you know the feeling of instability and being just a number. You can leave that behind and come home to ONESCO.”
Nancy Westbrock
President and Chief Executive Officer
GUIDE TO TRANSITION SUCCESS
7 tips to a rewarding transition
Set yourself up for success with these tried and tested pre-transition techniques.
Know the transition
Transitioning between broker/dealers inevitably leads to some level of disruption in an advisor's practice. It's crucial to maintain a clear focus on the ultimate objective throughout this period. Understanding that the transition signifies the beginning of a more favorable situation can assist advisors in managing any minor challenges that may arise during the transition phase.
Review representative agreement before resigning
Prior to leaving a firm, advisors should carefully review their representative agreement to refresh their understanding of termination notice guidelines, payment terms for commissions and fees, the contract's non-solicitation clauses, and the firm's protocol and privacy policies.
Obtain pre-approval on all marketing materials
Collaborate with the new broker/dealer to secure pre-approval from their compliance department for all marketing materials, website content, etc. This ensures a smooth start and allows you to be fully prepared upon joining the new broker/dealer.
Consider how this switch may be maximized
Take into account how this transition to a new broker/dealer can be leveraged to end challenging client relationships or to reevaluate pricing for clients that may not be financially viable.
Build a transition timeline
Develop a transition timeline that aligns with the commission and fee payment schedule of your current firm to minimize the compensation paid after your resignation date.
Focus your client outreach
For optimal conversion success, prioritize client outreach starting with A-list clients, followed by B-list clients, and then C-list clients.
Transition clients to new products or pricing
Explore how this transition can serve as an opportunity to introduce clients to new products or pricing options that may offer them added benefits.
CUSTOMIZED TRANSITION PLAN
Transition to ONESCO with minimal downtime.
Set yourself up for success with these tried and tested pre-transition techniques.
Know the transition
Transitioning between broker/dealers inevitably leads to some level of disruption in an advisor's practice. It's crucial to maintain a clear focus on the ultimate objective throughout this period. Understanding that the transition signifies the beginning of a more favorable situation can assist advisors in managing any minor challenges that may arise during the transition phase.
Review representative agreement before resigning
Prior to leaving a firm, advisors should carefully review their representative agreement to refresh their understanding of termination notice guidelines, payment terms for commissions and fees, the contract's non-solicitation clauses, and the firm's protocol and privacy policies.
Obtain pre-approval on all marketing materials
Collaborate with the new broker/dealer to secure pre-approval from their compliance department for all marketing materials, website content, etc. This ensures a smooth start and allows you to be fully prepared upon joining the new broker/dealer.
Consider how this switch may be maximized
Take into account how this transition to a new broker/dealer can be leveraged to end challenging client relationships or to reevaluate pricing for clients that may not be financially viable.
Build a transition timeline
Develop a transition timeline that aligns with the commission and fee payment schedule of your current firm to minimize the compensation paid after your resignation date.
Focus your client outreach
For optimal conversion success, prioritize client outreach starting with A-list clients, followed by B-list clients, and then C-list clients.
Transition clients to new products or pricing
Explore how this transition can serve as an opportunity to introduce clients to new products or pricing options that may offer them added benefits.
MEET THE TEAM
Committed to exceeding your expectations.
Here, you're not just another advisor. You're a valued member of a community dedicated to helping you thrive independently.
Nancy Westbrock
President and Chief Executive Officer
Nancy joined the company in 1997 as a senior programmer analyst. She joined ONESCO as Director, ONESCO Operations in 2009 and became the Chief Operations Officer in May 2015. In 2016, she was promoted to Vice President, ONESCO Operations. In 2023, Nancy started in her current role as President and Chief Executive Officer. She received her undergraduate degree from Miami University.
Andy VanHoy
Vice President and Chief Compliance Officer
Andy joined ONESCO in 2000 as a field compliance manager and was promoted to the officer level in 2006. He earned a bachelor’s degree in Economics from Indiana University and an MBA from the University of Cincinnati.
Terry Garrard
Second Vice President, National Sales Director
Terry joined ONESCO in 1999 and is responsible for ONESCO's practice management and technology consulting program, in addition to the firm's marketing initiatives. He also manages ONESCO's product relationships and serves as Due Diligence Officer. Terry earned his bachelor's degree from Miami University and earned his MBA from Xavier University.
Adam Mackintosh
Second Vice President, Investment Advisory
Adam joined ONESCO in 2008 as a marketing consultant and was promoted to Assistant Director, ONESCO Marketing in July of 2011. He was promoted to Investment Advisory Product and Marketing Officer at ONESCO in 2012. Adam earned a bachelor's degree in Finance from Wright State University.
Brian Tabler
Assistant Vice President, Trade Desk & Direct Operations
Brian joined ONESCO in 1998 and is currently Director, ONESCO Trade Desk. Before joining Ohio National, he worked in the banking industry. Brian earned a Bachelor of Science from Miami University.
Evan Bihl
Director, ONESCO Field Compliance
Evan joined ONESCO in 2006 and is currently Director, ONESCO Field Compliance. He has several years of experience in the financial services industry from working at another broker dealer in its High Net-Worth Division. Evan holds a Bachelor of Science in Business Management and Business Administration from Northern Kentucky University, as well as the designation for Certified Regulatory and Compliance Professional (CRCP) - FINRA/Wharton School of Business, University of Pennsylvania.
Katie Schwarber
Director, ONESCO Customer Service
Katie joined ONESCO in 2013 and is currently Director, ONESCO Customer Service. She has several years of experience in the financial services industry working at another broker/dealer, as well as a management platform. Katie studied Business Administration and Political Science at Northern Kentucky University.
MEET THE TEAM
Committed to exceeding your expectations.
Here, you're not just another advisor. You're a valued member of a community dedicated to helping you thrive independently.
Nancy Westbrock
President and Chief Executive Officer
Nancy joined the company in 1997 as a senior programmer analyst. She joined ONESCO as Director, ONESCO Operations in 2009 and became the Chief Operations Officer in May 2015. In 2016, she was promoted to Vice President, ONESCO Operations. In 2023, Nancy started in her current role as President and Chief Executive Officer. She received her undergraduate degree from Miami University.
Andy VanHoy
Vice President and Chief Compliance Officer
Andy joined ONESCO in 2000 as a field compliance manager and was promoted to the officer level in 2006. He earned a bachelor’s degree in Economics from Indiana University and an MBA from the University of Cincinnati.
Terry Garrard
Second Vice President, National Sales Director
Terry joined ONESCO in 1999 and is responsible for ONESCO's practice management and technology consulting program, in addition to the firm's marketing initiatives. He also manages ONESCO's product relationships and serves as Due Diligence Officer. Terry earned his bachelor's degree from Miami University and earned his MBA from Xavier University.
Adam Mackintosh
Second Vice President, Investment Advisory
Adam joined ONESCO in 2008 as a marketing consultant and was promoted to Assistant Director, ONESCO Marketing in July of 2011. He was promoted to Investment Advisory Product and Marketing Officer at ONESCO in 2012. Adam earned a bachelor's degree in Finance from Wright State University.
Brian Tabler
Assistant Vice President, Trade Desk & Direct Operations
Brian joined ONESCO in 1998 and is currently Director, ONESCO Trade Desk. Before joining Ohio National, he worked in the banking industry. Brian earned a Bachelor of Science from Miami University.
Evan Bihl
Director, ONESCO Field Compliance
Evan joined ONESCO in 2006 and is currently Director, ONESCO Field Compliance. He has several years of experience in the financial services industry from working at another broker dealer in its High Net-Worth Division. Evan holds a Bachelor of Science in Business Management and Business Administration from Northern Kentucky University, as well as the designation for Certified Regulatory and Compliance Professional (CRCP) - FINRA/Wharton School of Business, University of Pennsylvania.
Katie Schwarber
Director, ONESCO Customer Service
Katie joined ONESCO in 2013 and is currently Director, ONESCO Customer Service. She has several years of experience in the financial services industry working at another broker/dealer, as well as a management platform. Katie studied Business Administration and Political Science at Northern Kentucky University.
TRANSITIONING WITH EASE
The last move you'll ever need to make
Change doesn't have to be complicated. Our transition team understands the importance of a smooth transition. We are here to minimize your time away from your business, supporting you every step of the way.
Common questions when transitioning
Solutions for a smooth move
Losing Clients
You might have come across the notion that changing your broker-dealer could result in losing 30% of your client base. Advisors often make general statements like this about client retention. However, the key lies in the specifics: the circumstances of your departure, your destination, and the reasons behind the change.
Stalled Business Momentum
Encountering a slowdown in business momentum can present challenges for any business. Therefore, receiving ongoing support from the broker/dealer you are transitioning to is crucial to mitigate any disruptions and minimize the impact of the slowdown.
Cumbersome Process
Transitioning to a new broker/dealer often involves a significant amount of paperwork, signatures, and document reviews, which can feel overwhelming initially. It's crucial to partner with a broker/dealer that offers support from a dedicated transition specialist. This specialist can assist you in developing a plan to streamline the process and ensure a smoother transition.
Understand the Transition Process
The success of your transition greatly depends on your understanding of the process, especially if it's your first time transitioning to a new broker/dealer. At ONESCO, we offer the expertise of a transition support specialist who will assist you in creating a comprehensive plan and provide you with all the necessary guidance to ensure a smooth transition process.
Work with a trustworthy Broker/Dealer
Since our founding in 1968, ONESCO has taken pride in offering financial professionals independence, value and stability. We have evolved with our ever-changing industry and we prosper where other broker/dealers have not succeeded.
At ONESCO, we believe in:
• Promoting flexibility
• Supporting you with extraordinary value
• Delivering uncommon stability
TRANSITIONING WITH EASE
The last move you'll ever need to make.
Change doesn't have to be complicated. Our transition team understands the importance of a smooth transition. We are here to minimize your time away from your business, supporting you every step of the way.
Common questions when transitioning
Losing Clients
You might have come across the notion that changing your broker-dealer could result in losing 30% of your client base. Advisors often make general statements like this about client retention. However, the key lies in the specifics: the circumstances of your departure, your destination, and the reasons behind the change.
Stalled Business Momentum
Encountering a slowdown in business momentum can present challenges for any business. Therefore, receiving ongoing support from the broker/dealer you are transitioning to is crucial to mitigate any disruptions and minimize the impact of the slowdown.
Cumbersome Process
Transitioning to a new broker/dealer often involves a significant amount of paperwork, signatures, and document reviews, which can feel overwhelming initially. It's crucial to partner with a broker/dealer that offers support from a dedicated transition specialist. This specialist can assist you in developing a plan to streamline the process and ensure a smoother transition.
Solutions for a smooth move
Understand the Transition Process
The success of your transition greatly depends on your understanding of the process, especially if it's your first time transitioning to a new broker/dealer. At ONESCO, we offer the expertise of a transition support specialist who will assist you in creating a comprehensive plan and provide you with all the necessary guidance to ensure a smooth transition process.
Work with a trustworthy Broker/Dealer
Since our founding in 1968, ONESCO has taken pride in offering financial professionals independence, value and stability. We have evolved with our ever-changing industry and we prosper where other broker/dealers have not succeeded.
At ONESCO, we believe in:
• Promoting flexibility
• Supporting you with extraordinary value
• Delivering uncommon stability
Let's have a conversation about joining ONESCO
Fill out the form below and one of our transition specialists will contact you to help.
Let's have a conversation about joining ONESCO.
Fill out the form below and one of our transition specialists will contact you to help.
ONESCO is registered with the U.S. Securities and Exchange Commission (“SEC”) and the Municipal Securities Rulemaking Board (“MSRB”). The MSRB makes available a brochure, that is posted on MSRB website at www.msrb.org, that describes the protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority.
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Contact Us
The O.N. Equity Sales Company
Member FINRA and SIPC
A registered broker/dealer.
One Financial Way
Cincinnati, Ohio 45242
877.663.7267
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