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.

Jeffrey Sime – Chief Operating Officer
Jeffrey Sime currently serves as Chief Operating Officer.  Mr. Sime was one of the original founders of Legent Clearing and rejoined Legent in 2011.  From 2007 to 2010 Mr. Sime provided consulting services to brokerage and technology firms in the brokerage space.  From 2002 to 2007 Mr. Sime served various senior management roles with Legent Clearing.  Prior to Legent Mr.  Sime was Chief Financial and Chief Administrative Officer for Kirkpatrick Pettis the brokerage subsidiary of Mutual of Omaha Insurance Company.  Mr. Sime founded a clearing division at Kirkpatrick Pettis that eventually became Legent Clearing.  Mr. Sime began his career with Deloitte and Touche and has held several positions at brokerage firms.  He has over 20 years of financial services experience and holds the series 7, 24, 27 licenses.  Mr. Sime has a BS in Business Management with an Accounting Major.

David Jarvis – Executive Vice President and General Counsel
David Jarvis is Executive Vice President and General Counsel of Legent Clearing LLC, and a member of its Senior Management Team.  David was born in Detroit, Michigan in 1963.  He is a cum laude graduate of the University of Michigan and earned his Juris Doctorate in 1990 from the University of Detroit School of Law where he was an associate editor of the National Jewish Law Review. Prior to joining Legent, David was Executive Vice President and General Counsel of Gunn Allen Holdings, Inc., the parent of a diversified financial services firm.  Prior to Gunn Allen, David spent over five years as a Senior Vice President of Wachovia Securities (n/k/a Wells Fargo Advisors) where he was the de facto General Counsel to Wachovia Securities Financial Network and additionally supported First Clearing LLC, Wachovia’s clearing firm. David began his legal career with law firms in Michigan and New York, where his practice focused, almost in entirely, on securities litigation, securities regulation and securities arbitration. David is a frequent author, speaker and commentator on matters impacting the financial services industry

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.

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, 24, 63 and 65 licenses