Executive & Corporate Services
Serving companies —
and the executives who lead them.
Equity plan support and supervised transaction execution for public and private companies — delivered on whichever administration platform you already use, and backed by four decades of continuous FINRA membership.
- Since
- 1984
- Platforms
- Vendor-Neutral
- Supervision
- In-House Principals
Platform Compatibility
Whichever equity platform you choose, Liberty is ready to execute.
Companies select a stock plan administration platform for their own reasons — global footprint, HRIS integration, cost, or an existing banking relationship. Liberty works alongside the major platforms rather than requiring you to move to one of ours.
- FidelityStock Plan Services
- J.P. MorganWorkplace Solutions
- Morgan Stanleyat Work
- CartaCap Table & Equity
- WealthlaneEquity Plans
- CertentEquity Management
Platform names are shown for identification purposes only and remain the trademarks of their respective owners. Their inclusion does not imply affiliation with, endorsement by, sponsorship of, or an existing agreement with Liberty Associates, Inc. Availability of any arrangement is subject to the platform's and the issuing company's approval.
Overview
Flexible services aligned with corporate requirements.
Liberty Associates, Inc.'s Executive & Corporate Services practice assists corporations and their executives with equity plan support, participant education, and supervised transaction execution. We work with both public and private companies, coordinating with established stock plan administration platforms across every equity award type.
Execution is where Liberty adds its value: 10b5-1 trading plans, stock option exercises, Rule 144 and 145 transactions, and block trades — each conducted on an agency basis and reviewed under Liberty's written supervisory procedures by the firm's registered principals.
Engagement Models
Two ways we plug in.
Equity platforms fall into two broad categories, and Liberty is positioned for both. Nothing about an existing plan has to change for us to begin.
Platforms that let the company designate its broker
Several administration platforms are built broker-neutral, allowing the issuer to designate the executing broker for plan transactions. In this model Liberty can be named directly as the executing broker — handling option exercises, Rule 144 sales, and 10b5-1 plan trades while the company keeps the platform, data, and participant experience it already selected.
Platforms with an affiliated brokerage
Other platforms come bundled with their own brokerage arm. Liberty still serves executives here — through broker-of-choice and share transfer arrangements where the plan permits, and by handling the activity that sits outside the plan entirely: Rule 144 sales of already-held shares, 10b5-1 programs, and strategies for concentrated positions.
Broker designation and transfer eligibility are determined by the issuing company's plan documents and its platform's terms. Liberty reviews each situation before any arrangement is proposed.
Capabilities
What this includes.
Equity Plan & Participant Support
- Equity compensation viewable online across all award types
- Electronic grant agreements and online acceptance
- Award and vesting tracking, including ESPP plans
- Expense reporting, disclosure, and proxy reporting support
- Participant education, onboarding, and ongoing service
Coordinated through established stock plan administration platforms.
Executive Transaction Services
- Rule 144 and 145 transactions, including Form 144 filing support
- Stock option exercises across all transaction methods
- 10b5-1 predetermined trading plans
- Block trade execution for corporate insiders
- Structured selling programs for concentrated equity positions
Executed on an agency, best-efforts basis under centralized supervision.
Readiness
The infrastructure is already in place.
An equity plan practice needs a supervised broker-dealer underneath it. Liberty is not standing one up — it has been running one since 1984.
Forty years of continuous membership
Liberty has operated as a FINRA-member broker-dealer without interruption since 1984. The registrations, the record, and the regulatory history are already in place and publicly verifiable.
Principals already in seat
Supervision is in-house. Liberty's senior team holds active FINRA principal designations across general securities, financial and operations, options, and municipal securities — so plan and executive transaction activity is reviewed without adding headcount.
Written supervisory procedures
Order handling, insider transaction review, communications review under FINRA Rule 2210, and conflicts management are governed by documented WSPs — the infrastructure an equity plan practice has to sit on top of from day one.
Vendor-neutral by design
Liberty is unaffiliated with any equity plan platform. There is no in-house product to protect and no incentive to steer a company toward one administrator over another.
Client Portal
Secure access for plan participants and corporate administrators.
Corporate Services clients sign in to review equity awards, grant documents, and transaction activity. Credentials are provisioned directly by your Liberty Associates representative.
For Professionals
Bringing an equity plan practice with you.
Liberty's affiliated-representative platform supports experienced professionals who want to run a corporate and executive services practice with centralized supervision, an established forty-year regulatory record, and no proprietary product agenda pulling against client relationships.
Regulatory Posture
Liberty Associates, Inc. provides executive and corporate services in its capacity as an SEC-licensed, FINRA-member broker-dealer. All transactions are executed on an agency, best-efforts basis under Liberty's written supervisory procedures. Liberty does not hold customer funds or securities. Nothing on this page is an offer to sell or a solicitation to buy any security, or a recommendation with respect to any equity award. Public regulatory information is available at FINRA BrokerCheck.
Let's discuss your equity plan requirements.
Speak with a Liberty principal about your company's plan and executive transaction needs.