Principal Officers

Christopher L. Frankel - CEO
Christopher L. Frankel currently serves as the CEO of Legent Clearing LLC. From 2006-2009 Mr. Frankel was the COO of GunnAllen Financial. Mr. Frankel also worked at The Sterne, Agee and Leach Group from 1994 until 2006. While at Sterne Agee he served as the CEO of two of the firms’ broker dealers and President of the third. Mr. Frankel has extensive industry experience in correspondent clearing, wholesale execution, bank securities operations and institutional sales. Mr. Frankel began his career at Alex Brown & Sons, Inc. Mr. Frankel has served on the board of both the Securities Industry Association and the Securities Traders Association. Mr. Frankel attended Florida State University and currently resides in Tampa , FL with his wife Lorri and three children.

Ray Maratea – President
Ray Maratea has over 30 + years experience in executive management within the brokerage clearing services industry.  Ray served as Senior Vice President and Director of Operations for BNY Clearing Service LLC, a Bank of New York Company, Senior Vice President and Director of Operations, EVEREN Clearing, Senior Vice President, Branch Administration, Security Pacific/Bank of America. His background encompasses all aspects of operations, sales, and administration.  Ray serves as a member of the Board of Regents for Lewis University

David Brant –Chief Financial Officer  
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.

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.

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

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.