Led by seasoned investment professionals

Executive Team

MARC PALEY

Chief Executive Officer

212.596.3387 |  mpaley@axiofinancial.com

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 | flucier@axiofinancial.com

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 x 635 |  rbaff@axiofinancial.com

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.

SORI FARSHEED

Executive Vice President

703.475.3182 | sfarsheed@axiofinancial.com

Sori is responsible for strategic relationships and brings almost 30 years of financial services industry experience. She joined AXIO from Bluerock Capital Markets, where for six years she served as Executive Vice President and Head of Relationship Management, building and expanding the firm’s retail broker dealer partners and overall distribution network. Prior she spent four years at CION Investments, an alternative investments firm, where she built and managed a very client-centric relationship management department. Before that, she was at Legg Mason Global Asset Management for four years, focusing on intermediary retail distribution utilizing a broad menu of investment products, and at Alliance Bernstein for 14 years, managing strategic partnerships with key broker dealers.

JEANETTE FORSYTHE

Managing Director

416.203.1681 |  jforsythe@axiofinancial.ca

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 | phoracek@axiofinancial.com

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.

GARRY JENSEN

Global Head of Capital Raising

646.968.9909 | gjensen@axiojensenpartners.com

Garry is responsible the firm’s capital raising efforts through AXIOJensen Partners. He has 30 years of experience in the financial services industry. Previously, he was a Partner for five years at JRJ Group, a London-based private equity investment firm focused on financial services. He has held various senior executive positions at Credit Suisse and Lehman Brothers, including Head of Lehman Brothers’ International Institutional Equity business in the US. He started his career at Morgan Stanley in New York in Mergers & Acquisitions. Garry received an MBA with Honors from the University of Chicago.

JOHN TURNER

Executive Vice President

646.290.7019 | jturner@axiofinancial.com

John heads sales at AIS and focuses on developing and expanding relationships with broker-dealers, RIAs and other insurance intermediaries. He has 19 years of life insurance and brokerage experience. Previously, he was Vice President of Annuities at One Resource Group, where he developed marketing ideas in conjunction with companies and distribution networks to increase profitability. John managed the internal annuity sales team and worked with agents and producer groups to help them achieve their goals and increase their business. He also spent 13 years with Charles Schwab & Co Inc., as both a wholesaler and retail producer where he managed approximately $180 million AUM. He belonged to one of the first teams in the industry to use indexed annuity solutions in its complex client portfolio allocation space. John attended Columbia Union College (WAU) on a sports and leadership scholarship and is currently enrolled in the University of Alabama online Financial Planning degreed program. He holds the Accredited Asset Management Specialist (AAMS) designation from The College of Financial Planning and also The Accredited Investment Fiduciary (AIF) from fi360.

ALLAN WADDELL

Senior Vice President

646.368.8850 | awaddell@axiofinancial.com

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.

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646.982.1426

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Securities offered through Axio Financial LLC, member of FINRA and SIPC. Annuities offered through AXIO Insurance Services LLC. AXIO Financial LLC and AXIO Insurance Services LLC are separate entities both wholly owned by AXIO GROUP LLC.