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IPO Readiness Virtual Summit For Financial Advisors · 4 hours · 4.5 CE credits
About This Webinar
IPO Readiness Virtual Summit For Financial Advisors
A 4-hour virtual CE event on IPOs, tender offers, and equity comp planning
"The education provided was superb! Thank you so very much for collaborating with the top practitioners to bring this timely event together!" —Maggie Yang, CPA, CFP®, MBA
Held live on Sept. 24, 2026, this special event is available to stream on demand for all registrants. If you did not register for the live event, you can register now for immediate access to the recording on this page (includes slide deck and handouts).
To get the 4.5 CE credits for CFPs available with this webinar, please let us know when you have watched it and send us your CFP ID number. The webinar recording also offers 4.5 CE credits for CEP/ECA and CPWA/CIMA (both self-reported) and 4.0 CE credits for CFA (self-determined and self-reported).
For other on-demand webinars offering CE credits, see the myStockOptions Webinar Channel. There you can also find information on our upcoming live webinars, which in addition offer CPE, EA, and IAR continuing education credits.
What It's About
2026 and 2027 are shaping up to be record years for IPOs. Be ready to guide your clients through them. The IPO Readiness Virtual Summit For Financial Advisors unites core legal, tax, and financial-planning issues in one focused program, helping you advise clients on key decisions before, during, and after an IPO or tender offer.
When a private company approaches an IPO or creates liquidity through a tender offer, employees and executives face crucial decisions involving stock options, RSUs, company shares, taxes, diversification, and long-term wealth planning. Advisors must help these clients navigate one of the most consequential financial events of their lives.
In 5 webinar sessions, 10 leading experts in financial planning, taxes, and securities law explain the essential rules, issues, and strategies surrounding IPOs and tender offers. Practical case studies show how to apply that knowledge to real-world client situations. Plus, learn the best ways to attract clients at IPO companies.
"The Summit was awesome. I got so much out of it, and you had amazing speakers." —Diana Freeburg, CFP®, Modern Family Finance
Build Your IPO And Startup Planning Expertise!
The most valuable IPO planning often begins before the company goes public. Advisors who understand the full process can help clients avoid costly mistakes, prepare for taxes, make informed liquidity decisions, and successfully turn a major wealth event into a coordinated long-term financial strategy.
What You Get With Registration
- 4 hours of knowledge and insights with an all-star team of experts
- Five focused sessions on equity comp and company shares in liquidity events
- Practical case studies and strategies on tender offers and IPOs
- Continuing education credits
- Access to the recording to watch on demand again or instead of attending live
- Downloadable detailed slide decks and handouts
- Live Q&A
- A myStockOptions certificate of summit completion for your LinkedIn profile and office wall demonstrating your IPO knowledge
"The IPO Summit was phenomenal! I really enjoyed it and am grateful you put the event together!" —Joseph Stabile, CFP®, EA
What You Will Learn
- How IPOs and tender offers work
- Legal, SEC, and company rules and procedures advisors need to understand to successfully serve clients
- How to attract and retain clients at IPO companies
- Tax rules in planning for these big events that affect stock options, RSUs, restricted stock, and company shares
- Evaluating how many shares to sell or options to exercise
- Planning strategies before a tender offer and later IPO
- How to manage taxes, volatility, and concentration after an IPO
- Common mistakes that can reduce wealth or create unexpected tax problems
"The knowledge I gained from myStockOptions both as a premium member and from your webinars has made me stand out at work." —Vincent Leonardo (EA), Tax Analyst, Intuit
SUMMIT SESSIONS
Introduction (5 minutes)
1:00–1:05pm ET, 10:00–10:05am PT
1. IPOs And Tender Offers: Navigating The Process Under SEC, Legal, Brokerage Firm, And Company Rules (50 minutes)
Brian McDonald, Grantd Equity; Arjun Sathya, Equity Methods; Richard Segal, Cooley LLP
1:05–1:55pm ET, 10:05–10:55am PT
- Key stages and timeline of an IPO and company-sponsored liquidity program tender offers
- Legal, SEC, and company rules and procedures that must be followed
- How these impact the ability to sell shares, including lockups, trading restrictions, and the documents advisors and their clients should review before acting
- Marketing strategies for RIAs and brokers
2. Tax Rules For Tender Offers And Pre- And Post-IPO Planning (50 minutes)
Meredith Johnson, BPM; Bruce Brumberg, myStockOptions
1:55–2:45pm ET, 10:55–11:45am PT
- Tax rules that materially affect equity comp decisions and wealth-building from the late stage of a startup through the post-IPO period
- Topics include Qualified Small Business Stock (QSBS), both the capital gains exclusions and the rollover routes, along with other advanced tax strategies for avoiding/deferring/delaying taxes or income recognition
- Double-trigger RSUs, tax-withholding issues and potential rate elections, state residency changes, and advanced stock options tax topics
3. Tender Offers: Case Studies And Strategies (40 minutes)
Caitlin Fastiggi, Brooklyn FI; CJ Stermetz, EquityFTW
2:55–3:35pm ET, 11:55am–12:35pm PT
- Whether to participate
- Determining how many shares to sell and/or options to exercise
- How to balance liquidity, taxes, future appreciation, and concentration risk
4. Pre-IPO Case Studies And Strategies For Clients (40 minutes)
Megan Gorman, Chequers Financial Management; Daniel Zajac, Zajac Group
3:35–4:15pm ET, 12:35–1:15pm PT
- Determining whether and when to exercise stock options
- Preparing for future taxes
- Planning around double-trigger RSUs that vest on the IPO date
- Creating 10b5-1 trading plans
- Estate planning and charitable-giving opportunities
- Making decisions despite uncertain valuations and IPO timing
5. Post-IPO Case Studies And Strategies For Clients (45 minutes)
Kristin McKenna, Darrow Wealth Management; Chloé Moore, Financial Staples
4:15–5:00pm ET, 1:15–2:00pm PT
- Preparing for lockup releases
- Coordinating sales with company blackout and window periods
- Checklist of post-IPO issues, including an understanding of the client's life goals beyond lower taxes
- Transition from illiquid private company equity to a concentrated public company stock position
- Ways to diversity and/or protect concentrated stock wealth
"myStockOptions is my first go-to source for in-depth dives and unparalleled education." —Olga Mavrody, CPA
CE CREDITS
The live event offered 4.5 CE credits for:
- Certified Financial Planners (CFP)
- Investment Advisor Representatives (IAR, "Products & Practice" category)
- CPE for CPAs (including completion certificate with NASBA info)
- CPWA/CIMA professionals
- Certified Equity Professionals (CEP)
- Equity Compensation Associates (ECA)
The live event will offer 4.0 CE credits for Enrolled Agents (EA). CFAs may self-determine and self-report 3.5 CE credits.
The recording of the event offers CE credits only for CFP, CPWA/CIMA, CEP/ECA, and CFA.
CPE Program level: Intermediate
CPE Prerequisite: Knowledge of stock compensation basics
CPE Advanced Prep: None
CPE Delivery Method: Group Internet-Based (webinar)
CPE Field Of Study: Taxes – Technical
myStockOptions.com is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org
NASAA does not endorse any particular provider of IAR CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.
Questions? For further information, including administrative policies such as complaints and refunds, please contact the myStockOptions team at webinars@mystockoptions.com or 617-734-1979
Featured Presenters
Director of Financial Planning, Brooklyn FI
Caitlin Fastiggi is a CERTIFIED FINANCIAL PLANNER™, a Certified Private Wealth Advisor™, and an Equity Compensation Associate (ECA) with over a decade of experience helping individuals and families handle complex financial decisions. Her expertise spans multiple areas of wealth management, from home purchases and trust planning to insurance strategies and business planning.
She particularly enjoys working with clients during major life transitions, helping them align their financial decisions with their personal goals and values. At BKFi, she leads the financial planning team while working directly with clients to create comprehensive financial strategies that span generations.
She particularly enjoys working with clients during major life transitions, helping them align their financial decisions with their personal goals and values. At BKFi, she leads the financial planning team while working directly with clients to create comprehensive financial strategies that span generations.
Founder, Chequers Financial Management
Megan Gorman is the founder and managing partner of Chequers Financial Management, a female owned high net worth tax and financial planning firm in San Francisco, California. Megan's clientele ranges from entrepreneurs to corporate executives to inherited family wealth. An attorney by training, she is passionate about the problem-solving required to work in the world of complex financial planning. Megan has been named to the Forbes 2024 Best In State Wealth Advisors, 2024 and 2022 list of America’s Top Women Wealth Advisors – Best in State. Megan spent the first part of her career as a Vice-President at Ayco, A Goldman Sachs Company and BNY Mellon Wealth Management. She has a B.A. in History from Bryn Mawr College and a JD from Rutgers School of Law. Megan is currently serving on the Board of Trustees for the National Endowment for Financial Education (NEFE). She is Chairwoman of the Investment Committee for the $200m endowment. Megan’s first book, All The Presidents’ Money: How The Men Who Governed America Governed Their Money, was published in September 2024 by Regalo Books.
Partner, BPM
Meredith has deep experience in not only accounting but financial planning and analysis, project management, and business development. She works with clients based on a holistic approach to taxation, in the areas of estate planning and business succession particularly. Meredith excels in coordinating the needs of diverse stakeholders, managing multi-stage projects and synthesizing complex data. Her specialties include Financial Planning, Tax Planning and Compliance, Project Management, Business Strategy, Financial Modeling and Analysis, Employee Training and Development and Public Policy Analysis and Advocacy. Meredith is the immediate Past Chair of the California State Society of CPAs (CalCPA) and has been named to the 2024 inaugural list of Forbes America’s Top CPAs.
Founder and CEO, Grantd Equity
Brian McDonald is the Founder and CEO of Grantd Equity, an AI-native platform helping advisors, employers, and equity recipients navigate equity compensation with more clarity. A recognized leader in workplace financial solutions, he previously served as Managing Director and Head of Morgan Stanley at Work & Institutional Solutions, and spent nearly 25 years at Charles Schwab, ultimately as Senior Vice President leading Client Service & Support, Stock Plan Services, and Compliance Solutions. Brian is passionate about advancing technology-driven guidance that helps people unlock the full value of their equity compensation.
President, Darrow Wealth Management
Kristin McKenna CFP® is the President of Darrow Wealth Management, a fee-only registered investment advisor in Greater Boston. She’s a nationally recognized specialist in equity compensation with a particular focus on helping individuals plan for an IPO or acquisition. In 2023, Kristin received the InvestmentNews 40 Under 40 recognition. Kristin is currently a Senior Contributor at Forbes and has been published by U.S. News & World Report, TheStreet, and Business Insider, with quotes in Bloomberg, Barron’s, Fortune, Reuters, Kiplinger, MarketWatch, CNBC, Financial Advisor Magazine, NPR Marketplace, GOLF Magazine, and Huffpost, among others.
Founder, Financial Staples
Chloé Moore, CFP®, is the Founder of Financial Staples, a virtual, fee-only financial planning firm based in Atlanta, GA and serving clients nationwide. Her firm is dedicated to serving tech employees who are entrepreneurial-minded, philanthropic, and purpose-driven. Chloé believes that money is an emotional topic and it impacts many aspects of our lives. She enjoys helping clients unpack their money history and discover how they can use money to support a life that is most meaningful to them. You can learn more about her at financialstaples.com.
Managing Director, Equity Methods
Arjun is a Managing Director in Equity Methods’ Financial Reporting and Equity Management practice group, where he leads engagements for clients ranging from small private firms to Fortune 500 corporations. His expertise spans mergers and acquisitions, stock administration, employee mobility solutions, and financial reporting for equity awards. Arjun was instrumental in launching Equity Methods’ equity administration practice, helping shape its service offerings and ongoing growth. He has guided numerous companies through the successful implementation of global Employee Stock Purchase Plans (ESPPs), and has led transformative initiatives to re-engineer equity administration processes for enhanced scalability, compliance, and operational efficiency. He holds an MBA in Finance from the Thunderbird School of Global Management at Arizona State University and a bachelor’s degree in Computer Science from the National Institute of Engineering in India.
Partner, Cooley LLP
Rich represents high-growth companies, investment banks and institutional investors in equity and debt offerings, with a focus on the technology, life sciences and consumer/retail sectors. Rich also counsels public companies on US Securities and Exchange Commission compliance and reporting, and he advises private companies on a broad range of corporate and securities matters. Since 2019, Rich has completed 140+ securities transactions, including 39 initial public offerings, that raised more than $34 billion.
Founder, Equity For The Win (EquityFTW)
CJ Stermetz is the founder of Equity For The Win, an advice-only RIA based in Silicon Valley. CJ is known for his practical and forward-thinking approach. With certifications as a Certified Financial Planner® (CFP®) and a Certified Equity Professional (CEP) and years of working in Silicon Valley, he combines technical expertise with a desire to make financial advice easy to understand. CJ sees himself not just as an advisor but also as an educator. He believes that when used effectively, equity can significantly improve people's lives. It's a tool that helps individuals secure financial stability, build wealth, and achieve their long-term goals.
Managing Partner, Zajac Group
As a writer, speaker, financial advisor, and Zajac Group managing partner, Daniel Zajac (CFP®, EA) is dedicated to educating the community about employee stock options, restricted stock units, and other forms of equity compensation planning. At his firm, Daniel is also responsible for long-term strategic business planning, is actively involved in new business development, and is charged with leading strategic firm initiatives.
Editor-in-Chief and Co-Founder, myStockOptions
Bruce Brumberg has devoted most of his professional career to making complex tax and legal concepts understandable to people who do not enjoy reading the Internal Revenue Code and the securities laws. He is the editor-in-chief and a co-founder of myStockOptions.com, the premier provider of web-based educational content and tools on stock options, restricted stock, ESPPs, SARs, and performance shares. Bruce runs another website (myNQDC.com, on nonqualified deferred comp) and writes a popular blog at Forbes.com. He graduated from the University of Michigan and University of Virginia School of Law.
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