Robust capabilities to support corporate clients

Often, the very asset that helped create significant wealth is the one that poses the biggest risk to future financial freedom. We can help manage highly concentrated positions as a result of the sale of a closely held business for shares of a publicly traded company, stock and option incentives from an employer, a large inheritance comprised of a significant position in a single security or long-term fundamental investing.

By selling your restricted securities you can begin enjoying the fruits of your labor. We’re thoroughly familiar with restricted securities rules and can offer experience and expertise to assist in the selling and margining of your restricted or control securities.

We help you through the paperwork that may slow down the transaction process. Regulations may seem overwhelming and complicated at first, but with the help of our professionals we strive to have the transaction completed smoothly and in a timely manner. Then, after your assets are free, we have a myriad of services you can utilize such as retirement planning, trust services, estate and tax planning, asset allocation and a variety of asset managers, plus much more. It’s part of our service to help you create a comprehensive financial plan once we have completed the restricted or control securities transaction for you.

Your firm has recognized the contributions you have made to its performance and success by granting you options to purchase company stock. Representing more than your company’s respect for you as a valued employee, stock options can help you develop a meaningful investment portfolio.

That is why the decisions you make regarding your stock options – such as timing the exercise, how to complete the transaction and choosing to hold or sell the acquired shares – should be considered carefully. And since each decision can significantly affect your long-term financial situation, we are here to help guide you. We can provide advice designed to help you maximize the benefit of your options, simplify the process by collaborating with stock option experts, and provide choices to exercise your stock options that include purchasing the options using your own cash, initiating a cashless option exercise, cashless alternatives or stock swapping. No matter what choice is best for you, we help you make the final decision based on your overall financial picture and tax implications.

Highly sought company benefits such as retirement plans, flex-savings plans, and group health plans and voluntary insurance plans are a good way for you to attract and retain quality employees, help you plan and save for your own future and even save money by reducing your company’s payroll taxes and taxable income. We have the knowledge and expertise to navigate the countless choices of plans and help handle the many responsibilities that come with running them.

Companies can purchase shares in their stock under the Rule 10b-18 safe harbor. This strategy is often used to create earnings accretion, offset dilution from equity compensation awards, or serve as another means for returning capital to shareholders. Raymond James executes share repurchases for companies spanning the market capitalization and liquidity spectrum. Repurchases can be done tactically while in open trading windows or through a predetermined formula through a 10b5-1 plan.

Our team is available to assist with the sale of large blocks of stock for company insiders or other shareholders. Raymond James’ access to dark pools, algorithms and electronic trading systems allows our team to source a variety of liquidity pools. In addition, our institutional intelligence systems quickly determine which institutional accounts have indicated a recent interest to buy, sell or hold a stock at any given time.

We believe structured products are becoming increasingly attractive; they can complement a well-diversified portfolio by potentially providing efficient market exposure. When aligned with investor goals, we strive to construct and deliver products capable of meeting defined objectives, which may include risk reduction, return enhancement and market access.

Investing involves risk and investors may incur a profit or a loss.

If you’re a business owner or executive looking to explore new arrangements for your company, we can help guide you with comprehensive investment banking services including:

Public Offerings – Leveraging the expertise of our investment bankers to develop a focused plan of action to achieve financial rewards, then providing services for equity offerings as a principal way to raise funds while attracting new investors.

Mergers and Acquisitions – Helping companies identify strategic merger and acquisition opportunities and execute related transactions.

Restructuring – Building flexible teams of restructuring specialists and industry experts to assist companies facing challenging financial changes.

In addition, we can help you address issues such as acquisitions or buyouts, additional equity capital and the real market value of your company.