About Axio Financial
Our mission is to use data, technology, and people to add value throughout the entire Structured Product and Fixed Income lifecycles.
Adding Education, Transparency and Liquidity to Structured Product and Fixed Income Investments.
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 and Luma.
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 and Fixed Income lifecycles, 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 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
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.
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
Chief Operating Officer
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.

NEW YORK
489 Fifth Avenue
15th Floor
New York, NY
10017
Financial Advisors: 877.346.7763
TORONTO
22 Adelaide St. W,
Suite 2030
Toronto, ON
M5H 4E3
General Inquiries: 646.863.7240
FLORIDA
151 NE 5th Ave, C-6,
Delray Beach, FL,
33483
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Securities offered through Axio Financial LLC, member of FINRA and SIPC.