Principal Officers

Craig Black – Executive Vice President, Risk/Compliance
Craig Black oversees compliance and internal audit.  Mr. Black brings over 35 years of securities industry experience to Legent.  Prior to joining Legent Mr. Black served as Executive Vice President and Managing Director of BNY Clearing Services.  His experience covers all aspects of clearing operations as well as trading, risk management and compliance.  He currently holds Series 4, 7, 8, 24, and 63 licenses.

Thomas Robb - Senior Vice President and CIO
Thomas Robb is responsible for technology and correspondent conversions. Prior to joining Legent Clearing, Mr. Robb held previous positions of Senior Vice President of Consulting Services and Senior Vice President of Customer Services and Conversions at Thomson Transaction Services.   He brings over 27 years of brokerage and technology experience to Legent Clearing and currently holds a series 7.

Jean E. Luther - Senior Vice President, Operations
Jean E. Luther oversees all of the operational units including execution services, P&S, settlements, margin, asset management, mutual funds, corporate actions, stock loan, tax reporting and IRAs. Ms. Luther brings over 30 years of securities industry experience to Legent. Prior to joining Legent Ms. Luther served as vice president of BNY Clearing Services and held a position on DTCC's Corporate Actions Advisory Board. Her overall experience covers many aspects of clearing operations including securities and futures correspondent clearing. She currently holds series 7, 24 and 53 licenses.

Roxanna Guinan – Senior Vice President, Marketing and Product Development
Roxanna’s 20+ year financial services industry career includes management positions in Operations, Product Development, Client Services, Broker Training, Sales and Marketing at Baltimore-based DB Alex. Brown, Advest, Citicorp/Newbridge Securities, Merrill Lynch and at ADP Clearing & Outsourcing Services.   In addition to her marketing role promoting Legent’s core capabilities, she is responsible for the development, enhancement and promotion of products and services.  Roxanna holds series 7, 9, 10 and 24 licenses

David Brant – Senior Vice President and CFO 
David Brant oversees various functions including financial management, accounting and cash management.   Prior to joining Legent Clearing, Mr. Brant served as Vice President and Controller in the Independent Brokerage Group at Wachovia Securities, which included the correspondent clearing division, First Clearing, LLC.  He is a Certified Public Accountant, has over 10 years of securities industry experience and currently holds the 7, 24, 27, and 66 license.