"Newbridge Securities Corporation established a clearing arrangement with Legent in 2007 after clearing with several other firms during the previous six years. We quickly came to view Legent as a business partner rather than a typical clearing firm due to the personalized nature of their service. They have always welcomed our ideas and suggestions for improved customer service, management reporting and operational procedures. They make every effort to either accommodate our suggestions or to provide us with an acceptable alternative solution. The personnel at Legent are consistently responsive and friendly. We have an excellent clearing relationship."
---- Robert P. Spitler, CPA
President and Chief Financial Officer
Newbridge Securities Corporation
"I am a principal & CFO of a full service broker/dealer with an extensive overseas clientele. Our relationship with Legent has been critical in servicing these clients. Legent’s expertise in currency conversions, AML & client service has allowed us to extend the U.S. Securities Market to multiple new client demographics. Also, the Legent team is a wonderful group of people to work with."
---- Pete Hoffman CPA
Perrin, Holden & Davenport Capital
"As the President of WestPark Capital, my dealings with Legent are more on a broad level than on a day-to-day basis. I get involved when there are issues that require special attention. I can say that there has never been a situation that has arisen where Legent has not solved the issue in a timely manner. Legent has always made us feel like we are partners rather than clients. As we continue to grow, I look forward to working with them to help us expand our capabilities. "
---- Anthony C Pintsopoulos, President and Treasurer
WestPark Capital, Inc.
"As a proprietor of a full-service investment firm which prides itself on delivering quality service, timing and performance to our clients, it is of the utmost importance to have the backing of a solid clearing agent and partner. Legent has been our prime colleague in this facet. From the ground floor up their team has been nothing less than stellar, delivering impeccable service, dependability, and support. We are extremely indebted to them and as we continue to grow expect to maintain a strong affiliation with them for years to come."
---- Dan Dvorznak, Managing Partner
A&F Financial Securities
"I’m the Operations Manager for First Midwest Securities, Inc. I also worked with Legent at a previous firm. Since my first day dealing with Legent over five years ago, the customer service from the employees at Legent has been exemplary. It’s rare that a call goes to voice mail and the turnaround time on requests has been faster than at any other clearing firm I have worked with in my nineteen years in the industry."
---- Kelly Sutton, Operations Manager/ROP
First Midwest Securities, Inc.
“Through Legent, we offer all products including Fixed Income, Mutual Funds, UITs, and managed money. Our brokers run the gamut from 100% equity-oriented to those who focus primarily on Financial Planning. We currently have our own trade execution desk which allows us to offer riskless-principal trading to our FAs. We are using SunGard's Brass product as an order management system, which integrates seamlessly with ILX/BETA.
Legent has been our provider since we were at Sterling Financial Group in 2003. We chose Legent because their top priority was customer service. We especially like the Thomson back-office when compared to ADP and other vendors. Legent has been willing to listen to its correspondents and add features when requested. A good example has been the recent addition of Advisors Asset Management (AAM) as a straight-through vendor of fixed income products. Legent's customer service group has been instrumental in our recruiting success. They have been flexible and proactive during the transition phase for brokers. We are very pleased with our relationship with Legent.”
---- Paul Richardson, President of JHS Capital Advisors
"Our firm tends to compete with much larger peers and as a result we require a competitive advantage; we believe Legent assists us in having that advantage. We have cleared through several firms in the past and chose Legent in part because we were excited about their flexibility to provide custom-fit clearing solutions to our firm. They have met our requests, whether that was a live Bloomberg feed for order management, direct OAYSIS interface for our institutional clients, branding of websites and back-office systems to unique account services for some of our foreign clients. We have truly appreciated their commitment to helping us build our business."
---- Alexander G. Montano, Managing Director
Corporate Finance Group - C. K. Cooper & Company