Corporate Executives

As a corporate executive, your compensation can consist of sizeable bonuses, stock options and salary. But with more money comes more complexity that could end up costing you in the long run without the proper strategy in place.

Our team will work closely with you to review, develop and implement strategies to optimize your compensation structure, navigate complex federal securities laws, comply with internal company trading policies and manage personal tax liability as you monetize and diversify your holdings across multiple investment vehicles:

10b5-1 Plans

  • Can be sold in a pre-arranged manner to offer flexibility, diversity and a defense against insider-trading accusations
  • Allow you to execute a sales strategy that works in your best interest, regardless of company-defined trading windows
  • Engages in purchases or option exercises in an orderly manner

Equity-Based Benefits

Equity-Based Benefits (Stock Options/RSUs) can be lucrative, but often come with vesting schedules and other stipulations. We can create strategies to help you match your future personal income needs, manage your tax exposure — particularly AMT — and help you plan when to execute your shares.

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Restricted and/or Control Stock Shares

If you own restricted and/or control stock shares, our experts can help ensure smooth and efficient transactions while also actively communicating with your general counsel or HR professional.

Concentrated Stock

Holding concentrated stock of your company is a high-risk/reward proposition. We'll develop strategies to broaden your core positions and most effectively manage your concentrated shares.

This information is intended for use only by residents of (AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IL, IN, KS, KY, LA, MA, MD, MI, MO, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, VT, WA, WI, WV). Securities-related services may not be provided to individuals residing in any state not listed above. Please consult with the FA as s/he may not be registered in all states.

For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN). Wells Fargo Advisors is the trade name used by Wells Fargo Clearing Services, LLC and WFAFN, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. Any other referenced entity is a separate entity from WFAFN.

Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

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