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Executive Services

Deferred Compensation Plans & Restricted Stock

Deferred Compensation Plans & Restricted Stock

Let us help you manage your deferred compensation and Restricted Stock plans. Through our planning process we help you plan around your deferred compensation and restricted stock awards. We can also help your company implement a deferred compensation plan. Contact us to learn more.

Investment Banking - Capital Markets

Investment Banking - Capital Markets

Through our Kingswood Investment Banking team we work side-by-side with you, and craft bespoke solutions that align with your goals. In a world of uncertainties, our strategic and capital markets advisory solutions are your stepping stones to success. From IPOs to mergers & acquisitions, from acquisition finance to private placements, we have solutions. Navigate the complexities of global finance with Kingswood U.S. - because together, we build legacies.

10b5-1 Plans

10b5-1 Plans

Let us help you establish a 10b5-1 plan. A 10b5-1 plan allows insiders of publicly-traded corporations to set up a trading plan for selling stocks they own.

  • Rule 10b5-1 allows company insiders to set up a predetermined plan to sell company stocks in accordance with insider trading laws.
  • The price, amount, and sales dates must be specified in advance and determined by a formula or metrics.
  • Both the seller and the broker making the sales must not have access to any material nonpublic information (MNPI).
401(k) Plans

401(k) Plans

We work with executives to create and implement retirement plans for the C-Suite and rank-and-file employees. We partner with you to provide planning for executives and financial education for your employees as well. There have been many changes to retirement plans over the past few years from Profit Sharing to the Mega Roth 401k. If you are looking to start a plan or have an existing plan and haven't had it evaluated recently, contact us. 

Cash Management Services

Cash Management Services

Let us manage your liquidity needs while maximizing your return on cash. We build laddered cash-alternative portfolios with weekly T-Bill maturities and short term municipal bonds, reviewing both taxable and tax-free options to ensure you are receiving a competitive return on a tax adjusted basis.