ASPPA Webcast: ESOPS and Business Transitions: Structuring a Win-Win-Win Succession Plan

ASPPA Webcast: ESOPS and Business Transitions: Structuring a Win-Win-Win Succession Plan

Available Until September 13, 2018
2:00 - 3:40 p.m. ET

Speaker Panel: Kelly Finnell, Howard Kaplan, Carla Klingler, Michael McGinley, and Lee Swerdlin

IRS Program Number: CZTXU-Q-00789-17-O

Webcast Outline: Click Here.


ESOPs are a powerful financial and ownership transition tool. However, broad statutory requirements and fiduciary risks (real and perceived) can be quite intimidating for professionals when questioned by their clients about becoming an “ESOP Company.” In this webcast a panel of experienced ESOP consultants will seek to demystify some of the elements of this fascinating tool, from both technical and operational perspectives. Topics to be covered include transition strategies, tax implications, business valuation, fiduciary responsibilities, comparative ERISA plan administration and compliance, and growing a more productive “ownership culture.”

Key Takeaways:
1. Explore the rich philosophical vision and regulatory history of ESOPs in ERISA and other U.S tax codes.
2. Compare different transition structures to achieve different succession objectives and tax implications.
3. Identify basic technical and operational differences in ESOPs versus other defined contribution qualified retirement plans.

Registration Deadlines: 
Live: 9/13/2017
On-Demand: 9/13/2018

CE Credit:2 ARA, 2 ERPA, 2 JBEA Noncore

About the Panelists:

Kelly Finnell is founder and president of Executive Financial Services, one of the most active ESOP consulting practices in the country having executed ESOP transactions in 20 cities located in 12 different states. She has advised hundreds of corporations and their shareholders and directors regarding the use of ESOPs in a wide variety of transactions, including leveraged buyouts, corporate stock repurchases, ownership succession tansactions, and corporate reorganizations.

Howard Kaplan is CEO of the Kaplan Fiduciary Group, a firm focused on improving fiduciary performance by boards and management of ESOP companies and ESOP fiduciaries. He has more than 25 years in the ERISA fiduciary and trust banking industry, where over the years he developed industry leading expertise in fiduciary services for employee stock ownership and qualified retirement plans.

Carla Klingler is a senior benefits consultant at Swerdlin and Company. She has spent more than 35 years interpreting ERISA and developing ESOP compliance procedures and tools to address regulatory requirements. Her ESOP consulting expertise and TPA services cover broad corporate strategies including ownership transition, plan design/implementation, regulatory compliance, tax, benefits, and communications.

Michael McGinley operates out of and manages Prairie Capital Advisors’ Atlanta office. He specializes in all aspects of ownership transition financial advisory services to business owners, boards of directors, and trustees. His work encompasses ESOPs, M&A, capital raising, and the valuation of businesses and business interests for gift and estate tax planning, strategic planning, financial accounting and reporting, buy-sell agreements, and dispute resolution.

Lee Swerdlin is president and COO of Swerdlin and Company, an actuary and benefits consulting firm headquartered in Atlanta, Georgia. Over the years, his involvement in the firm’s new business development and client relations has been instrumental in growing the company into a national leader for providing qualified plan services for all types of employee benefits. Lee works closely with the daily recordkeeping and ESOP administration teams to develop new state-of-the-art services using technology and the firm’s rich expertise to pursue excellence in both traditional and specialized areas of the qualified retirement plan and employee benefits industries.

Individual Viewer Additional Viewers 
ASPPA Member: $115  ASPPA Member: $45 
Non-Member: $190  Non-Member: $70 

Registration for on-demand recorded webcast includes unlimited viewing of the webcast recording to play any time before the one-year expiration date, webcast outline, and any additional presentation materials. Recordings are available one week after the live webcast takes place.

Webcast Package Pricing:

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Methods of Registration:

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Mail: American Retirement Association, PO Box 34725, Alexandria, VA 22334-0725 For express/overnight deliveries (FedEx/DHL, etc., send to: American Retirement Association, 4245 North Fairfax Drive, Suite 750, Arlington, VA 22203

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General Information

Cancellation Policy:

All webcasts are non-refundable. If you have registered for the live webcast and are unable to attend, please email and request to transfer your registration to the recorded version. This request must be made before the live webcast takes place.

Statements and materials presented on American Retirement Association webcasts are solely the opinions of the speakers and do not represent the opinion or the position of the American Retirement Association. The American Retirement Association assumes no responsibility for the content and materials presented by speakers during the webcast.


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