Client Engagement Group

What We Do:

Our Client Engagement Group provides legal and compliance functions, middle and back office client support, financial operations, and coordination among all Elevation businesses.

We Strive To:

  • Provide the highest levels of service to increase the performance of our clients.
  • Manage all aspects of transaction execution, settlement, and clearing to make it seamless to the customer.
  • Anticipate client needs so that we can work proactively on their behalf.
  • Promote and support the firm's culture of compliance in each business.
  • Develop a close working relationship with each and every client.

What We Deliver:

  • Robust compliance framework.
  • Professional and efficient trade settlement.
  • Strong technology and systems.
  • Efficient account opening process.
  • Highly responsive customer service for all middle and back office issues.

Client Engagement Group Team

Leadership
Operations
Charlie Lucas

Chief Compliance Officer and General Counsel, Financial and Operations Principal

clucas@elevationsecurities.com

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Leadership
Operations
John Sheehan

jsheehan@elevationsecurities.com

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Leadership
Operations
Susan Watts

Finance Director

swatts@elevationsecurities.com

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Leadership
Operations
Sally Nelson

snelson@elevationsecurities.com

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Leadership
Operations
Ho Wai Ong

hwaiong@elevationsecurities.com

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Leadership
Operations
Li Huang

lhuang@elevationsecurities.com

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Leadership
Operations
Jonathan Kornblatt

jkornblatt@elevationsecurities.com

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Leadership
Operations
Junyan Yao

jyao@elevationsecurities.com

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Contact Us

If you have any questions about our services, our company, or open positions, please don’t hesitate to drop us a line.

Contact Us