mySO Conference ImageIMAGE: myStockOptions

Organized by and held in Boston on June 18, the one-day conference Financial Planning for Public Company Executives & Directors attracted financial advisors from all over the United States that work with or seek to advise clients that receive equity compensation from their employers.

The first of its kind conference featured the following presentations from a variety of stock compensation industry experts:

Leading Investment Manager Reveals Current Strategies for High-Net-Worth Clients (Paul Bouchey, Parametric Portfolio Associates, interviewed by Bruce Brumberg of

Trends in Stock and Executive Compensation: What They Mean for Financial Advisors (Richard Friedman, Ayco Company)

Important Tax, SEC, and Legal Developments Impacting Financial Planning for Stock and Executive Compensation (Bruce Brumberg, myStockOptions; Susan Daley, Perkins Coie)

Leading Financial Advisor Reflects on His Career Working with Executives (Tim Kochis, Kochis Global, interviewed by John Barringer of Executive Wealth Planning Partners)

Financial & Tax Planning Strategies for Stock Options, Restricted Stock/RSUs, Performance Shares, and Company Stock Holdings (Caroline Emswiler, Wealth Financial Consultants; William Baldwin, Argent Wealth Management; Jackie Kunkel, UBS Financial Services; Kristin McFarland, Darrow Wealth Management; moderator: Bill Dillhoefer, Net Worth Strategies/StockOpter)

Estate Planning & Charitable Giving With Company Stock & Equity Comp (Geoff Zimmerman, Mosaic Financial Partners; Kirsten Howe, Absolute Trust Counsel; Matthew Connor, Fidelity Charitable)

Rule 10b5-1 Trading Plans: Cornerstone of Legal Protection for Stock Diversification (Michael Andresino, Posternak Blankstein & Lund; Mark Bach, Morgan Stanley)

Retirement Distribution Planning for Executives: Key Role for Stock Compensation and Holdings of Company Stock, Executive Retirement Plans, and NUA (Chuck Steege, SFG Wealth Planning Services)

Strategies for Concentrated Positions in Company Stock (Dave Gordon, Eaton Vance; Bob Gordon, Twenty-First Securities; Brian Yolles, StockShield; moderator: Tim Kochis, Kochis Global)

Pursuing the Equity Compensation Opportunity: Attracting and Retaining Individuals Who Receive Company Stock and/or Options (John Barringer, Executive Wealth Planning Partners; Bill Dillhoefer, Net Worth Strategies/StockOpter)

The event received very positive feedback from attendees who commented that there was “A huge amount of practice-relevant information in a very efficient and engaging format.” For example, the “Planning Strategies” segment provided client examples and addressed topics including:

  • Developing diversification strategies for 10b5-1 plans
  • Analytics for determining when to exercise & sell (case study)
  • Approaches for helping clients to understand concentration risk
  • Equity compensation tax planning
  • Change in control guidance: mergers, acquisitions, IPOs
  • Performance share guidance and tracking
  • Employee Stock Purchase Program (ESPP) guidance
  • Choice programs: Options or Restricted Stock

This conference addressed the need for financial advisors to help stock plan participants make timely, informed and prudent decisions regarding their company stock and option grants. A recent survey of 1,000 stock plan participants found that most are hesitant about exercising stock options or selling shares due to fear of making costly mistakes.  However, survey participants also admitted they would be very / extremely confident making equity compensation decisions with the help of a financial advisor.

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