Executives and Professionals

As an executive in a corporate environment or professional with your own practice, the rewards of providing uncommon vision and leadership can be significant. With them, however, come unique challenges and risks and the need to make the most of your prime earning years. While we specialize in working with physicians and attorneys, we also help professionals in a wide variety of other industries.


As a leader in a publicly traded company, you may face highly concentrated stock positions. We can help you meet your comprehensive financial needs by leveraging the diverse resources of Raymond James:

  • Personal Financial Solutions
  • Financial and Estate Planning
  • Tax Planning
  • Risk Management
  • Portfolio Design and Management
  • Alternative Investments
  • Lending
  • Insurance
  • Education Planning

Executive Transactions:

  • ESOPs
  • Cashless Stock Option Exercises
  • Rule 144 Executions
  • 10b5-1 Sales Plans
  • Hedging and Monetization for Concentrated Equity Positions

Corporate Solutions:

  • Share Repurchase Programs
  • Corporate Cash Management
  • 401(k) Retirement Programs
  • Other Retirement Programs
  • Executive Benefit Platforms

As the owner of a professional practice or firm, you have needs similar to business owners, but with particular emphasis on risk management. You may have a small group of employees, so your retirement plan options for the business are more limited.

Your unique requirements include preserving assets from liability risk, tax planning, managing education debt, independent contractor issues and, finally, achieving financial independence.

Services we provide include:

  • Comprehensive financial planning (investment and overall retirement planning)
  • Managing tax, liability and risk exposure
  • Family wealth counseling
  • Education planning
  • Estate planning
  • Philanthropic planning
  • Business succession planning
  • Insurance planning
  • Health insurance planning in retirement
Working with the employees of AT&T and FPL

Along with executives, we’re also privileged to work with other employees of these fine organizations. If you work for either of these companies, or any other public corporation that requires you to make decisions about your retirement options, we can provide you with unbiased counsel regarding your pension plan, 401(k) and company benefits.


Please note: Changes in tax laws or regulations may occur at any time and as financial advisors of Raymond James, we do not render advice on tax or legal matters. You should discuss any tax or legal matters with the appropriate professional.