Elevate Your Education with Our Immersive Masterclass Programs

4-Session Advanced Training • 2 CE Credits per Session

Approved/Eligible for: CFP®, IAR (NASAA), CPA, and EA continuing education

The Equity Compensation Masterclass consists of four sessions covering a broad overview of the topic with a focus on planning opportunities for financial advisors. There will be an in-depth analysis of the various types of equity awards that are typically issued to clients with an emphasis on taxation issues and strategies that might be considered. These sessions should help advisors gain a deeper understanding of this area and allow them to add more value for their clients.

Session 1 will provide an introduction to the course with a summary of the general concepts that will be covered throughout the course. We will discuss generally the types of awards from both public and private companies along with an overview of the various considerations that arise. We will also talk about information gathering and the documents that are critical when guiding clients regarding their equity awards. Session 1 will also look more specifically at Restricted Stock Awards, Restricted Stock Units and Performance Shares, focusing on the key features of each, their taxation and planning opportunities. Session 1 will wrap up with a look at Employee Stock Purchase Plans, with an emphasis on tax qualified ESPPs, focusing on their key features and taxation.

Session 2 is devoted to an in depth look at Incentive Stock Options and Nonqualified Stock Options. First, we will compare Restricted Stock Awards and RSUs to stock options generally, and then take a look at the various features associated with stock options. We will then take a more in depth look at the terms and conditions along with the taxation of both NQSOs and ISOs specifically.
 

Session 3 continues looking at stock options turning our attention to strategies at grant and exercise with examples to illustrate a number of considerations. There will also be a discussion of tax reporting considerations before turning our attention to termination events. Topics in this area will include the impact of various life events on equity awards as well as job events including termination of employment, retirement and change of control.
 

Session 4 looks more specifically at private companies, including issues related to liquidity and valuation, exercise strategies such as early exercise/Section 83(b) considerations, double trigger RSUs and the application of QSBS treatment. Other less common types of equity awards will be discussed including SARs, phantom stock and profits interests. This section will wrap up with a discussion of NUA as a strategy for employer stock held in a qualified retirement plan.
Along with Powerpoint slides for each session, checklists related to various topics we cover will be provided. Please see the attached outline for more details on what each session will cover.     
 

Masterclass Program Schedule

Session #1: Equitable Compensation and Stock Options - Introduction/Restricted Shares/RSUs/ESPPs

Tuesesday, Feb. 3, 2026 | 3:00-5:30 PM ET (including Q&A)

Session #2: Equitable Compensation and Stock Options - NQSOs and ISOs

Tuesesday, Feb. 10, 2026 | 3:00-5:30 PM ET (including Q&A)

Session #3: Equitable Compensation and Stock Options - Grant/Exercise Considerations/Tax Reporting/Termination Events

Tuesesday, Feb. 17, 2026 | 3:00-5:30 PM ET (including Q&A)

Session #4: Equitable Compensation and Stock Options - Private Company Issues/Other Equity Awards/Concentrated Stock/NUA

Tuesesday, Feb. 24, 2026 | 3:00-5:30 PM ET (including Q&A)

Continuing Education (CE) Credits

Each live session will provide 2 CE credits to subscribers with the CFP®, CLU, ChFC, and RICP designations. CPE and EA subscribers can also earn 2 CPE credits for each live session. Each session will provide 2 CE credits for Investment Adviser Representatives. CE-eligible replays will also be available for CFP®, American College, and IARs.