ESOPs: Trends and Opportunities

Date: Tuesday, October 3, 2017
Time: 11:45pm - 1:15pm
Location: Marina Inn Hotel--South Sioux City, NE
Speaker: Dan Zugell, CLU, ChFC, LUTCF-Senior VP of Business Transition Advisors (BTA)

11:45 am Social

12:00pm Lunch

12:10pm Business/Announcements

12:15pm Presentation

1:15pm Conclusion




ESOPs are gaining serious momentum due to the numerous tax advantages to the seller and company in this increasingly hostile tax environment.  An ESOP allows a selling shareholder to defer all capital gains on the sale of stock, provides a 100% corporate deduction of the value of the stock sold to the ESOP, does not disturb corporate control and keeps the business in the family/community without an outside third party interests.  Additionally, ESOP companies’ profits may be 100% federal and state income tax exempt on all corporate profits.  ESOPs are very good at transferring a business in an extremely tax advantaged manner to the next generation or key management that generally can’t buy the business on their own.

Learning Objectives of this Program:

  • This is approved for 1.0 CE credit. Materials available upon request from SEPC Board.


About the Speaker:

Dan is Past-President of the Pittsburgh Chapter of SFSP, Past-Chair of the Pittsburgh Business Ethics Awards and have been speaking at NAIFA, SFSP, FPA and EPC chapters around the country over the last 16 years for C.E. including Chicago, Cincinnati, Greensboro, SW Michigan, Milwaukee, Central Indiana, Hartford, Tampa, Jacksonville, St. Louis, Cleveland, Buffalo, Mobile, Pittsburgh, Austin, Ft. Worth, Dallas, Tulsa, Houston, Pennsylvania State NAIFA Convention and others as well as corporate and major producer group meetings and events.  He has been published in the prestigious Journal of Financial Service Professionals titled “Executive Benefits in ESOP-Owned S Corporations Post-409A and 409(p)”, quoted in TD Ameritrade and Employee Benefit Advisors, Wealth Counsel magazines and other business publications.

Business Transition Advisors (BTA) is a  business transition consulting firm specializing in designing and implementing Employee Stock Ownership Plans (ESOPs).  They work almost exclusively through financial advisors, charge direct fees to the client if engaged but sell no insurance or investment products. 

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