President and COO
Mr. Sime was one of the original founders and rejoined Legent in 2011, prior to its transition to Axos Clearing. 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 the company. Prior to Axos Clearing, Mr. Sime was Chief Financial and Chief Administrative Officer for Kirkpatrick Pettis, the brokerage subsidiary of Mutual of Omaha Insurance Company. Mr. Sime founded the clearing division at Kirkpatrick Pettis that eventually became Legent Clearing. Mr. Sime began his career with Deloitte and has held several positions at brokerage firms. He has over 20 years of financial services experience and holds the series 7, 24, 27, 53, 63, 79 licenses. Mr. Sime has a BS in Business Management with an Accounting Major.
SVP Sales and Relationship Management
Mr. Scaplen joined Axos Clearing LLC as Senior Vice President of Sales and Relationship Management. Over his career Mr. Scaplen has served in both a Relationship Management and Sales capacity at some of the top clearing houses in the country including iClearing (Datek Online), Penson Financial Services Inc., Southwest Securities Inc., and Electronic Transaction Clearing Inc. (ETC). Mr. Scaplen’s experience with multiple clearing and execution products has led him to develop and implement various strategies that have streamlined operational efficiency and increased overall revenue to the firms. Mr. Scaplen credits his success to strong mentors and is a member of his alma maters Alumni Mentoring Program. He is a graduate of the Ramapo College of New Jersey, a member of the Security Traders Association of New York, and is FINRA licensed Series 4, 7, 24, 55, 63.
Chief Risk Officer
Mr. Franzluebbers serves as Chief Risk Officer of Axos Clearing. He joins the firm from TD Ameritrade with more than a decade of industry experience in audit, supervision, risk and controls, and risk management. Mr. Franzluebbers is a Certified Internal Auditor (CIA) and is FINRA licensed Series 3, 4, 7, 24, 34 and 63. He is a graduate of the University of Nebraska – Lincoln and has earned a Postgraduate Certificate in Mechanics of Risk Management.
Chief Compliance Officer
Ms. Bridgeford serves as Chief Compliance Officer of Axos Clearing. Her experience spans more than 30 years in the industry, focusing on compliance and privacy. Prior to being named CCO, Ms. Bridgeford had served as a Compliance Officer over more than a decade with the firm and she has also previously held roles at RBC (Dain Rauscher) and Securities America. She is FINRA licensed Series 7, 24, 63 and 99.
Chief Financial Officer
Mr. Brant serves as Chief Financial Officer of Axos Clearing. He rejoins the organization after previously serving as CFO from 2005-2012. Throughout his career, he has held leadership positions at several industry firms. Mr. Brant earned his degree in Accounting and Finance from The Ohio State University. He holds Series 7 and Series 27 Licenses.
Senior Vice President, Chief Operations Officer
Mr. Hastings joined Axos Clearing LLC as Senior Vice President, Chief Operating Officer. He is a seasoned leader who joins the firm with more than two decades of industry experience working at Invesco in Houston from 2000 to 2018 and at Securities America in Omaha for the last three years. He has held a multitude of roles across Technology, Automation, Strategic Planning, and Innovation. Rick credits his success to a group of amazing leaders and mentors, allowing him to encourage and empower his teams to work more efficiently, solve problems and create solutions using innovative approaches. He is a graduate of Sam Houston State University with a BS in Computer Science and a minor in Finance.
Connect With Axos Clearing
1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916