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 Stewart & Rosenbloom Financial Group

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 Concentrated Stock Positions

Executives may own large concentrations in their employer's stock. This concentration can come in the form of shares of stock, options, restricted stock, SARs and shares in qualified plans. Executives also need to consider their reliance on the company for non-stock-related factors including cash compensation, healthcare benefits and retirement packages. If something were to happen to an executive's employer that severely impacted its ability to perform over the longrun, it could have a devastating effect on the executive's personal financial situation.

There are a variety of solutions available to address a concentration in a single stock. Every client's situation is unique, so our team works to first identify the client's objectives. After understanding the company's trading policy, we offer recommendations of any possible strategies that can accomplish the client's goals.

Techniques that may be of interest to executives with a concentration include:

  • 10b5-1 Sales Plans,
  • OTC Collars,
  • Variable Prepaid Forwards,
  • Equity Exchange Funds,
  • Net Unrealized Appreciation and
  • Charitable Techniques.

Click here to view an educational brochure on concentrated equity.

Raymond James financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Please note that not all of the investments and services mentioned are available in every state. Investors outside the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. Contact us for information and availability.

Securities offered through Raymond James Financial Services, Inc., Member FINRA / SIPC.
Stewart & Rosenbloom Financial Group is not a registered broker/dealer and is independent of Raymond James Financial Services.
Investment advisory services offered through Raymond James Financial Services Advisors, Inc.
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