4135 NW Urbandale Dr
The team at Brokers Financial isn’t just our team—they’re your team. We work with advisors like you to help you and your clients prosper. Our team’s knowledge, expertise, and recommendations are at your disposal, helping you better serve your clients at every turn. Together, we have over 75 years of experience executing trades, performing investment research, raising capital, and helping firms like yours to grow and thrive.Our team-centered approach allows us to collaborate and find the best investment options for you and your clients. Each team member’s knowledge and expertise is put to use for you, bringing you one step closer to your goals as firm.Learn more about our exceptional team members in the bio links below, or contact us to speak with one of our representatives today.
Sr. Rep Relationship Manager
Layne Monroe is our Sr. Rep Relationship Manager. He was originally with the company from 2017 to 2019 and then joined us again in January 2022. Layne is responsible for managing the recruiting, transitions, and IT departments.
Rep Relationship Manager
Rachel Siedenburg is our Rep Relationship Manager. She joined us in March 2022. Rachel manages the relationship of new representatives from recruiting through the transition process. She also communicates value propositions in the marketplace and develops leads.
Brian Aukes is our President. He joined us in 2013. Brian is responsible for the overall operation of the company.
Chief Operations Officer/ Chief Compliance Officer
Belma Mujdzic is our Chief Compliance Officer and Chief Operations Officer. She has been with the company since 2017. Belma leads the firm’s compliance and operations teams.
Chief investment Officer
Andy Osby is our Chief Investment Officer. He joined us in October 2016 and has over 23 years in the financial industry. Andy is responsible for the overall investment lineup for the company. He is also responsible for product design and investment implementation of our Retirement Ally portfolios.
Chief Financial Officer
Andrea Kemble is our Chief Financial Officer. She has been with us since April 2008. Andrea is responsible for all financial reporting for the company. She also manages the commission department.
Director - Risk Management
John Kunkel is our Director of Risk Management. He has been with us since 2012. John oversights the broker-dealer and RIA to ensure compliance with written supervisory procedures and applicable regulations.
Trade Review Supervisor
Dave Henry is our Trade Review Supervisor. He joined us in 2013. Dave is responsible for managing the Trade Review Principals and the overall approval of new business applications as well as the oversight of all trades.
Sr. Financial Analyst
Tommy Breitbach is our Sr. Financial Analyst. He joined us in January 2015. Tommy is responsible for working with the advisory team on the management and execution of the Retirement Ally platform.
Kristi Irving is a Compliance Analyst. She joined us in April 2006. Kristi supervises our reps, monitors emails, and conducts office inspections of our representatives.
Trade Review Principal
Bryan Purdy is our Trade Review Principal. He joined us in August 2018. Bryan is responsible for the approval of new business applications.
Ryan Burry is our Compliance Analyst. He joined us in 2018. Ryan supervises our reps, monitors emails, and conducts office inspections of our representatives.
Nicole Ascheman is our Operations Coordinator. She joined us in 2017. Nicole is responsible for processing new business as well as answering phones, sending client letters and client data entry.
Caylee Brady is our Operations Coordinator. She joined us in March 2021 and was previously with Brokers International for 2 years before that. Caylee handles the processing of new business as well as account maintenance requests. She also handles the distribution of mail.
Jordan Cotter is our Trade Review Principal. He joined us in August 2018. Jordan handles the front and back trade review for all business, as well as any Pershing, TD and Schwab paperwork service items that may come up.
Commission and Fee Administrator
Paula Rolfes is our Commission and Fee Administrator. She joined us in August 2021 but previously worked with Brokers International from 2013-2021. Paula enters the commission and fee payments into the commission system daily and then pays the reps each week. She also helps with some of the accounting functions.
IT Help Desk Assistant
Derek Ott is our IT Support Analyst. He joined us in December 2018. Derek handles the software access for all on boarding representatives as well as any technical support issues that may arise with access to our applications.
Joe Fairchild is our Accounting Specialist. He joined us in 2018. Joe is responsible for many accounting items that includes accounts receivable invoicing, month end tie- out and financial reporting, collections, FINRA licensing and E&O insurance renewals, and audit support.
Director of Investment Services
Lance Presley is our Director of Investment Services. He joined us in March 2021. Lance works with our Financial Advisors as a partner to help them find solutions for their clients and increase assets under management.
Commission Oversight Administrator
Robin Dorr is our Commission Oversight Administrator. She was previously with the company for 11 years and then recently returned in 2021. Robin is responsible for paying weekly commissions and answering any commission questions.
Advisory Operations Coordinator
Alex Cary is our Advisory Operations Coordinator. He joined us in March 2022. Alex helps with handling the daily operations for advisory accounts on the TDA platform as well as other duties that may arise.
Katie Comito is our Transition/Licensing Specialist. She joined us in March 2022. Katie assists new reps with their transition as well as any license and other updates representatives may have to their U4.
Whether you are investing to build wealth, protect your family, or preserve your assets, our personalized service focuses your needs, wants, and long-term goals.
Our team of professionals have years of experience in financial services. We can help you address your needs of today and for many years to come. We look forward to working with you.