June 2021 – Equity Services, Inc

Operations

DocuSign Eligibility – Over 90% of Our Vendor Sales!

In many ways, COVID-19 caused a rapid shift towards new technology solutions for registered representatives and their clients. The adoption of new technology tools…

Beth KnoxJune 29, 2021

Operations

Happy Independence Day!

ESI and National Life Group will be closed on Monday July 5th in observance of the 4th of July holiday. We will be back…

Beth KnoxJune 29, 2021

Compliance & Licensing

Take Note: Fraudulent Phishing Emails from the Virginia Division of Securities and from FINRA

Hello, Last week ESI received two notifications (from the Virginia Division of Securities and from FINRA) on fraudulent phishing email purporting to be from…

Beth KnoxJune 29, 2021

Prospecting & Marketing

Updated Marketing Packages and Pricing from Broadridge!

Broadridge is a premium provider of financial marketing solutions designed to help you find new prospects, retain and grow business with existing clients, and…

Beth KnoxJune 29, 2021

Operations

Expansion of DocuSign Eligibility & New Limits on Disbursements of Funds

In many ways, COVID-19 caused a rapid shift towards new technology solutions for registered representatives and their clients. The adoption of new technology tools…

Beth KnoxJune 22, 2021

Advisory Solutions

American Funds Virtual Advisor Forum

Join the American Funds Advisor Forum on July 20-21. Capital Group and AssetMark are teaming up for your success at this virtual event, with…

Beth KnoxJune 22, 2021

Advisory Solutions

The Results Are In!

Thanks to each of you who took the time to complete the ESI Sentiment Survey where we asked you, our field partners, to share…

Beth KnoxJune 22, 2021

Compliance & Licensing Technology

Entreda Unify Replaces Brite

Cybersecurity continues to be a top priority at ESI and National Life. To comply with customer privacy regulations, all field registered representatives (“RRs”) and…

Beth KnoxJune 22, 2021

Operations

Important Information about Paper Surcharge Fee Coming in Q3

In March, Equity Services, Inc. delivered an updated Brokerage Client Transaction Fee Schedule to all customers within their Q1 statement. The schedule reflected the…

Beth KnoxJune 22, 2021

Advisory Solutions Compliance & Licensing

COMING SOON! Collect Up to 100% of Financial Planning and Consulting Fees In Advance!

In the past, EFA limited the pre-payment of planning/consulting fees to no more than 50% of the total fee charged. But the field has…

Beth KnoxJune 15, 2021