Ticker Tape by TradingView 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. 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 Chief Operating Officer 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. 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