Brokerage Services

Based in New York and San Francisco, Legend Merchant Group, Inc. is a privately-held financial services firm offering merchant and investment banking services to corporate clients, and brokerage and asset management services to high-net worth individuals. Our asset management and brokerage services team works with high net worth investors to deliver access to a wide range of financial strategies and products to balance near term liquidity requirements with long term wealth creation goals.

• Large cap to illiquid small cap stocks
• Rule 144 sales; restricted, unregistered and control securities
• Registration Rights of registered and unregistered securities
• Private placements, direct investments; Regulation A and Regulation D offerings
• Company buybacks; under SEC Rule 10b18

• The Team

  • David (Chip) W. Unsworth, Jr.
    Chairman & CEO

    David (Chip) W. Unsworth, Jr., Chairman & CEO
    

    
    

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    Mr. Unsworth has a long history of success as an investment banker, corporate finance strategist and financial services entrepreneur. He founded Legend Merchant Group in 2002. Mr. Unsworth provides the strategic vision and commitment to client service that has fueled the Legend’s rapid growth. From 1997 to 2001, Mr. Unsworth served as a founding partner and owner of Broadmark Capital. He played a key role in the expansion of Broadmark's banking, asset management and distribution businesses, which raised over $300 million in private equity for early and venture stage companies.
    
    Prior to Broadmark, Mr. Unsworth was Senior Vice President and owner at Gilford Securities for six years, handling high net-worth, institutional equity and fixed income accounts. He held similar positions with Gruntal & Co. and Oppenheimer & Co. Throughout his career, Mr. Unsworth has been an active advisor to early-stage companies in both public and private markets.
    
    He has also helped create shareholder value in public companies by spearheading re-capitalizations, proxy contests, and corporate strategy changes alongside owners and managers. Mr. Unsworth graduated with a B.S. in Business Administration from the University of Rhode Island. He holds Series 7, 63, 65 and 24 Registrations.

    
    
  
   
   
  

  San Francisco

  
  
  • James Oakes

    James Oakes
    

    
    

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    Gus - Need Bio Info

    
    
  • Anders de Jounge

    Anders de Jounge
    

    
    

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  • Andrew S. Gallion
    Sr. Vice President - Investments

    Andrew S. Gallion
    

    
    

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    Mr. Gallion is a Senior Executive in the West Coast Private Client Group overseeing business development and customized portfolio strategy for high net worth individuals. Prior to joining Legend Merchant Group, Mr. Gallion was part of a 15 member team catering to high net-worth individuals and small institutions at Trautman Wasserman. During his five years at Trautman Wasserman, he was promoted to Vice President overseeing west coast business development and client relations; he was also responsible for sourcing several private transactions from inception through final financing.

    Mr. Gallion received his BA in History from Cal State Long Beach in California.

    
    
  
   
   
  

  New York

  
  
  • Gus Komninos

    Gus Komninos
    

    
    

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  • Richard Brana

    Richard Brana
    

    
    

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