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.
Senior Vice President of Operations
Mr. Rafteseth has served as SVP of Operations with Axos Clearing since July 2019, and came to us with over 25 years of supervision, risk and controls, and operations experience at several financial services firms, including TD Ameritrade, Penson Financial Services, US Bancorp Investments, and Wells Fargo Investments. He is a member of the SIFMA Operations Roundtable and a graduate of Baylor University. FINRA licensed Series 7, 24, and 63.
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.
Michael A. Barth
Chief Risk Officer
Mr. Barth serves as Chief Risk Officer of Axos Clearing. With more than 30 years’ experience in the industry, he has held leadership positions in operations, compliance, regulation, business development, client services and sales. Mr. Barth joined Axos Clearing from Electronic Transaction Clearing (ETC) where he was the Chief Operations Officer. Prior to ETC, he held executive roles at OES MarketGroup, Philadelphia Stock Exchange and Pacific Stock Exchange. He is a graduate of UCLA and is FINRA licensed Series 7, 24 and 99.
Efren C. Cleofe III
Chief Compliance Officer
Mr. Cleofe serves as Chief Compliance Officer of Axos Clearing. His experience spans more than 30 years in the industry with a focus on operations, regulatory compliance and supervisory risk and control. Cleofe joins Axos Clearing from HSBC Securities where he was the Director and Sr. Compliance Manager of Wealth Management and Investment Advisor Compliance. He also served in leadership roles at Bank of America Merrill Lynch, Goldman Sachs Execution & Clearing, L.P. and UBS. A graduate of San Beda College, he is FINRA licensed Series 3, 7, 8, 24, 63 and 65. Cleofe is a Certified Financial Crimes and Regulatory Compliance (CFCRC) from the University of Manchester in UK and is an active member of FINRA Board of Arbitrators.
Chief Financial Officer
Mr. Oss serves as CFO of Axos Clearing, LLC. He has more than 25 years of experience in finance, administration and public accounting. Prior to joining Axos Clearing in 2015, Mr. Oss served as a Vice President and FINOP at Ameritas Investment Corp, and has also held Controller and Senior Auditor roles in different industries. He holds an active Certified Public Accountant (CPA) permit to practice from the Nebraska Board of Public Accountancy and is FINRA licensed Series 7, 24 and 27. Mr. Oss is a member of the American Institute of Certified Public Accountants (AICPA) and has earned its Chartered Global Management Accountant (CGMA) designation.
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1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916