Planning Opportunities with Stock Options

Newton, Catherine
September 2000
Journal of Financial Planning;Sep2000, Vol. 13 Issue 9, p96
Academic Journal
This article presents a discussion on stock option planning in which several financial planners participated. It's become a very common compensation device, and because of the generally robust stock market in the last several years, many people have at least on paper, a great deal of potential wealth. They are not a typical kind of investment, either, where people hold shares of stock in a company, wonder if they should sell, and read the annual report to find out what is going on. Another recent development is that some, although not all, nonqualified options are now transferable. Mark E. Balasa, CPA, CFP, Balasa & Hoffman, says that because it is an important part of the executive clients' compensation, it's integral to the practice, but not a niche per se. Judith A. Shine, CFP, Shine Investment Advisory Services Inc., says that stock options are the way corporate U.S. pays key executives these days, so it's very much a part of the practice. It's almost inevitable that the client's portfolio is going to be heavily skewed toward the value that the options bring to their net worth.


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