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Corporate Executive Services

As a corporate executive and leader, you are often faced with unique equity compensation challenges at your organization. Oppenheimer can help you mitigate these challenges. Our Financial Professionals focus on building a more personal relationship to help you achieve your financial goals, leveraging our Firm’s full-services to deliver tailored advice and seamless execution of your stock trading plans, restricted and control stock strategies, employee option plans, and stock repurchases.

What we offer

In addition to guiding you through the consequences associated with the exercise and or sale of your stock options, we can assist you with financing the exercise of your stock options, usually without any outlay of cash. The program includes exercise and sell, exercise and hold, and exercise and sell-to-cover.

We will assist you in the sale of restricted or control stock in compliance with applicable laws and with minimal effort on your part. If an outright sale is not appropriate, we can provide you with alternative strategies for accessing liquidity.

Establishing a Rule 10b5-1 trading plan helps you diversity a portfolio that contains large company stock positions and/or options, and helps protect you against insider trading liability. Our team will help design a customized Rule 10b5-1 plan that fits your needs.

Our team will guide you through the process of designing and implementing a stock buyback plan tailored to help address financial goals. You are provided with strategies addressing financial benefit while complying with regulatory policies and rules.

Why Oppenheimer?

Our Corporate Executive Services Team uses the same principles of prudence, thoughtfulness, and long-term planning that have characterized Oppenheimer’s history as a leading full-service investment firm. We offer broad resources and distribution through our asset management platform and a proactive capital markets group that provides you both with exposure to the institutional investor community and significant after-market service.


Choosing from a mix of traditional and alternative investments from across the global financial landscape, we help Financial Professionals, private investors, and institutional clients find the right investment opportunities for their portfolio.

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Oppenheimer works with individuals, employers, and plan sponsors to establish and maintain the best possible retirement savings plans – based on each unique circumstance.

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Oppenheimer delivers a comprehensive line of trust services and products to high net worth individuals and families, not-for-profit organizations, and businesses through our fiduciary organization, Oppenheimer Trust Company of Delaware.

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