Our approach to investment planning

We take a personalized approach to holistic wealth management, building customized plans and providing solutions tailored to an individual’s needs. The products and services we provide are simply a means to an end, and therefore we don’t take a “set it and forget it” approach. Rather, in our experience, investment planning is an ongoing process of preparing for and reacting to critical financial events. Our resources and experience can help keep you prepared as we aim to achieve your financial and lifestyle goals.

144 and 10b5-1 plans

The Executive Services team helps tackle various complex financial issues for corporate executives and employees with equity-based compensation benefits, including SEC Rule 144 and 10b5-1 trading plans.  Mary has been working with corporate executives for over 20 years and specializes in the sale of restricted stock.

Collaborating with your existing financial network

We can work with you and your other advisors, including your CPA and attorney, to develop and implement an estate planning strategy based on your circumstances. Wells Fargo Advisors does not provide legal or tax advice. Be sure to consult with your own tax and legal advisors before taking any action that could have tax consequences. Any estate plan should be reviewed by an attorney who specializes in estate planning and is licensed to practice in your state.

Restricted stock services

Employers and institutions can offer restricted stock services to grant company shares to their employees. These restricted stock units gradually accrue value and are structured to vest after a certain timeframe. Talk with our team for more details and to evaluate if this is a worthwhile option for your employee compensation packages.

Family legacy accounts

As a service-oriented team, we strive to expand relationships with all generations of your family to help them better understand the challenges of investment planning and properly managing wealth. We want each of our clients to have the clarity, confidence, and professional advice necessary to plan for the responsible stewardship of family wealth. Comprehensive financial management doesn’t stop with a review of your lifetime – it looks at future generations and what sort of legacy you want to leave for them.

We understand that life transitions and key life events – such as adding new members to a family, buying a home, sending a child/grandchild to college, caring for an aging parent, and/or planning for retirement – often come with distinct hopes or concerns about the changes you may encounter in the future. 

By helping families recognize and anticipate these future life events, our team can help reduce anxiety and prepare everyone for what lies ahead. And as life changes, we meet to review and adjust investment plans accordingly.

Investment and Insurance Products are:

  • Not Insured by the FDIC or Any Federal Government Agency
  • Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
  • Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested
This information is intended for use only by residents of (CA, CT, DE, FL, GA, MA, MD, ME, MI, NH, NJ, NY, TX, WA). Securities-related services may not be provided to individuals residing in any state not listed above.

For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

Investment products and services are offered through Wells Fargo Advisors. Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.

Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

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