Executive Financial Services supports Morgan Stanley Smith Barney Financial Advisors to help executives, directors and other key employees develop various strategies in connection with their restricted and
control securities and concentrated positions. These include the
sale and purchase of securities by corporate officers and other key employees under Rule 10b5-1
Plans, collateral loans, sales of Rule 144, 145 and shelf-registered
securities, employee stock option exercises and corporate repurchases.
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For many of America's most successful business executives, wealth
is often achieved through the accumulation of stock or stock options.
Whether this equity comes from taking a company public, a merger
or acquisition or receiving executive stock
options, the result is typically the same: the fruits of one's
labor are often concentrated in a single security.
And while focusing one's effort and capital in a single enterprise
can achieve wealth for an executive, maintaining this wealth over
a lifetime and future generations requires, among other things,
expertise in the laws and regulations concerning the use and disposition
of such security. EFS complements the Financial Advisor's investment
experience and client knowledge to formulate an effective strategy
for our clients.
To learn about these issues and solutions, click here.
Executive Financial Services is also well versed in dealing with the following highly regulated areas:
- Collateral Loans
- Rule 10b5-1 Trading Plans
- OTC Option Collars
- Pre-paid Forward Sales
- Contingent Forward Sales
- Exchange Funds
For details on these services contact your Morgan Stanley Smith Barney Financial Advisor, or click here.
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Restrictions on securities
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Alternatives for monetizing, hedging or diversifying securities
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Trade execution
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Estate and financial planning
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| For Innovative Solutions to issues, click here.
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