Specializing in US Listed Company Equity Incentives · Cross-border Equity Management · Global Asset Management
Full compliance closed-loop system, safeguarding corporate equity strategies
NASDAQ ESOP INC is a professional financial institution registered with the US SEC and operating under full licensing. We specialize in providing one-stop ESOP full-process solutions for US-listed companies. Built by a top-tier US licensed financial services group, we offer a next-generation digital trading and asset management platform designed specifically for listed companies and their Employee Stock Ownership Plan (ESOP) participants, committed to providing professional, secure, and efficient fintech services.
From top-level architecture design of equity incentive plans to registration, custody, and full lifecycle management of equity assets
Providing customized investment strategy consulting and professional global asset allocation and portfolio management services
Leveraging advanced fintech infrastructure to provide secure and efficient cross-border capital settlement and payment technology support
Becoming the most trusted financial partner through professional, compliant, and innovative services
Combining corporate strategic goals and development stages to customize equity incentive plans, covering option pool planning, vesting conditions, vesting arrangements, and exit mechanism design.
Designing compliant cross-border equity holding structures for domestic employees of US-listed companies, addressing multiple compliance challenges including foreign exchange, taxation, and securities custody.
Based on MSB, SEC, and RIA full license qualifications, providing one-stop compliance management services from plan filing and continuous information disclosure to regulatory reporting.
Leveraging RIA qualifications to provide professional stock asset management advice to corporate executives and key employees, including concentrated position management, diversification strategies, and tax planning.
Providing specialized training and financial education on equity incentive plans to corporate employees, helping them fully understand and maximize their equity benefit value.
Providing IPO pre-listing equity incentive system review, cleanup, and restructuring services for companies planning to list on NASDAQ, ensuring smooth approval of listing applications.
Licensed operation is our baseline and commitment to serving clients
Money Services Business — FinCEN / U.S. Department of the Treasury
Holding the MSB license issued by US FinCEN, we conduct cross-border fund transfers and foreign exchange business in full compliance, which is the core qualification for processing cross-border remittances of employee equity income.
Securities & Exchange Commission — CIK Registration
Completed formal CIK global private placement registration with the US SEC, possessing the legal qualification to issue securities for listed companies in compliance, ensuring financing activities meet federal securities law requirements.
Registered Investment Advisor — SEC Federal License
Holding the RIA license issued by the SEC Federal, we can legally provide securities investment advisory and asset management services to enterprises and individuals, genuinely protecting clients' best interests under fiduciary standards.
Every service we provide is built upon a solid foundation of regulatory compliance. We hold multiple core licenses issued by U.S. regulatory authorities — a testament not only to our capabilities, but also a solemn commitment to the security of client assets and the confidentiality of their information.
Issuing Authority: Financial Crimes Enforcement Network (FinCEN), U.S. Department of the Treasury
Core Significance: Authorizes the conduct of money services business (including foreign exchange transactions and fund transfers), ensuring all capital flows strictly comply with U.S. Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) regulatory requirements.
Issuing Authority: U.S. Securities and Exchange Commission (SEC)
Core Significance: Business activities are under the direct supervision of the U.S.'s highest securities regulatory authority, with strict adherence to high-standard information disclosure, compliant operational norms, and investor protection provisions.
We focus on serving four core client groups, delivering comprehensive and professional solutions across all dimensions
Professional · Collaborative · Trustworthy
Covering US main board, OTCQB/OTCQX listed companies and Chinese enterprises planning to list in the U.S., providing full-cycle services before and after listing
Tailored asset allocation and wealth management services for controlling shareholders, major stockholders, and global high-net-worth investors of listed companies
Focused on outbound enterprises and multinational groups with cross-border business needs, providing equity incentive and management solutions that meet overseas compliance requirements
Serving Qualified Institutional Buyers (QIBs), Family Offices (FO), and professional cross-border wealth management institutions with efficient asset matching support
Legal and compliant business operations, covering full-process services from plan design, grant registration to exercise management
Licensed compliant operations, bridging the "last mile" of global fund circulation, efficient and secure
Relying on professional licensed teams to provide securities investment consulting and asset management, helping clients preserve and increase asset value
Creating a complete business chain from grant, vesting, trading to final exit, providing full lifecycle equity management services
Conducting equity incentive training to ensure employees fully understand incentive plans
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New York, NY, United States
NASDAQESOP@163.COM
NASDAQESOP@gmail.com
Monday to Friday 09:00–18:00 EST