About Axio Financial

Our mission is to use data, technology, and people to add value throughout the entire structured product lifecycle.

Adding Education, Transparency and Liquidity to Structured Products.

   

Who We Are

Axio flexibly and efficiently provides full service throughout the full product lifecycle.

Our People

Fully licensed, registered, and highly trained salespeople with a passion for Structured Products solutions.

Our Technology

The Axio Acceleration Platform includes an advanced CRM, email marketing, 1:1 email, telephony integration, and advanced reporting & analysis. 

Our Entrepreneurial Culture

Axio’s entrepreneurial culture allows us to continuously evaluate and implement new technologies to increase our efficiency in offering Structured Products solutions.

Our Platform Independence

We leverage our Axio Acceleration Platform and  Platform Partners including SIMON, Luma, SI 360 & HALO. 

Our Many Issuing Partners

Axio has all the leading market share issuers with a very wide variety of CD and Note Structures and competitive, transparent, and liquid prices.

Our Full-Service Approach

Axio provides value-added service throughout the full Structured Product Lifecycle, including customized portfolio analysis, idea generation, back testing, Axio Originated Products and Secondary Trading.

Our History

Through a combination of organic growth and strategic acquisitions, Axio is now the leading US distributor of Structured Products in the US.

Our Executive Team

Marc Paley

Chief Executive Officer

212.596.3387 

Marc is responsible for firm strategy, management and business development. He brings AXIO’s clients more than 25 years of experience in banking, securities, insurance and wealth management. Previously, Marc was President and CEO of Beacon Trust Company, a wealth management firm with $1.4 billion in assets under management, and also had a long career at Lehman Brothers, managing a 700+-person team as Global Head of Equity Capital Markets, Global Head of Cash Equities and member of the firm’s Management Committee with responsibility for sales, trading and capital markets origination. Marc also served as CEO of Meridian 10 Holding AG, a portfolio company of Lehman Brothers. He is a graduate of Lehigh University and The Columbia University Graduate School of Business and also served two terms on The Lehigh University Board of Trustees.

Fred Lucier

Managing Partner

561.758.0430 

Fred runs AXIO’s fixed income and underwriting business. He has more than 20 years of experience in fixed income underwriting, trading and sales. Previously, he was Head of Fixed Income at Three Zero Three Capital, where he managed their fixed income business and was responsible for corporate securities underwriting. He also served on the Executive Committee at Incapital, LLC and was responsible for its fixed income trading and sales business. Fred has also worked for Countrywide Securities, Deutsche Bank Securities and Bankers Trust in several trading/sales capacities. He holds an MBA from Columbia Business School and a BA in Economics from Bucknell University.

Rick Baff

Chief Information Officer

646.868.9109 

Rick is responsible for AXIO’s information technology platform. He is a results-driven hands-on IT executive with a unique combination of business acumen and technology skills. He offers deep expertise in data analytics and reporting across the enterprise and complexity spectrum, with extensive experience successfully creating, motivating and leading teams to define, design, build and support complex enterprise-wide SaaS IT solutions for the insurance, financial services, healthcare, wellness, mobile and SMB markets. Rick is a graduate of Lehigh University and has two Masters degrees including an MBA in Investment Finance from Columbia University and an MPA in Energy Economics & Policy from New York University. Rick founded a data analytics company in 1994 targeted to the insurance industry for clients such as AIG, Chubb/ACE. Prior to that, he held various global technology senior management positions at Dow Jones/Telerate and ADP focused on trading room technology & market data.

Gregg DiGeronimo

Managing Director

917.599.9568

Gregg leads Axio’s strategic relationships and new business development efforts. He has over 25 years of financial services industry experience specializing in the bank broker dealer and independent channels. Prior to joining Axio Gregg was the National Sales Manager for Navian Capital leading distribution and new business development. Prior to that, Gregg has served as president of Frist Merit Financial Services and AmTrust Investment Services and National Sales manager for Key Investment services. Gregg holds a graduate degree in banking from LSU and a BA from the University of Cincinnati.

Jeanette Forsythe

Executive Vice President

416.203.1681 

Jeanette manages AXIO’s administration and has more than 18 years of experience in the financial industry. She began her career at First Marathon as Manager of Associates, Analyst in the Investment Banking group. After the acquisition of First Marathon by National Bank Financial, Jeanette moved into the Executive Offices and worked on special projects relating to the merger and overall business administration. Jeanette then moved to Dundee Securities where she was Director of Administration, managing a group of approximately 20 employees. Jeanette holds a BA from Wilfrid Laurier University.

Peter Horacek

Executive Vice President

646.520.2323 

Peter heads AXIO’s distribution efforts. He has over 25 years in the financial services industry specializing in asset management and structured product distribution. Previously, Peter co-founded Financial Products, LLC and served as its President and CCO from 2010 until he joined the AXIO team in 2016. Prior to that, Peter spent nine years with Credit Suisse, where he was responsible for Global Investor distribution and client service efforts within Credit Suisse’s Asset Management division throughout the US, Latin America and Canada. He also served in various management positions with the Dreyfus Corporation over a ten-year period. Peter holds a Masters of Business Administration from Hofstra University and a Bachelor of Science degree in Business Management from the State University of New York.

Ian S. Shainbrown

Chief Legal Officer

212.542.3261

Ian has more than 15 years of experience leading the planning, development, and execution of legal and business strategies. He is responsible for all legal matters at AXIO, encompassing securities, commercial, employment, corporate governance, regulatory and other activities. Previously, Ian was Vice President at a New York-based Registered Investment Company, where he provided executive leadership and legal counsel relating to portfolio and investment management, compliance, employment law, fundraising, business development, and investor relations. Ian also practiced law at two international law firms and graduated cum laude from the University of Michigan and Georgetown University Law Center, where he was the editor of the Georgetown Law Journal.

Allan Waddell

Senior Vice President

646.368.8850 

Allan Waddell serves as Senior Vice President and is responsible for AXIO’s day-to-day operational performance and client relationship management. Allan provides both leadership and strategic support to multiple departments, through sales, technology, finance, and marketing. Additionally, Allan assists clients in creating bespoke sales solutions and analytics to optimize market penetration. Allan’s prior experience includes technology platform design and sales. Allan earned a BMOS from the University of Western Ontario with Honors and Specialization in Accounting.

Questions? Contact us today.