September 2021 – Equity Services, Inc

2022 Annual Renewals

ESI 2022 Annual Renewal Notices will be distributed via email the first week of October. For any questions, please contact ESI Licensing at 800-344-7437.…

Beth KnoxSeptember 27, 2021

Advisory Solutions Compliance & Licensing Operations

Reminder: Upcoming Important Dates!

Important Reminder: Brokerage Account Paper Statement Fee will be Reflected on 9/30/21 Account StatementsIn the 3rd quarter of 2021, National Financial Services, LLC. (NFS)…

Beth KnoxSeptember 27, 2021

Operations

Coming Soon: New Wealthscape InvestorSM Mobile App

After close of business on October 19, 2021, Fidelity Investments will introduce a new refreshed Wealthscape InvestorSM mobile app into the App Store and…

Beth KnoxSeptember 27, 2021

Compliance & Licensing

DOL 2.0: What Does It Mean to be a Fiduciary?

Why is this important to me?Before we even begin to explain what it means to be a fiduciary under the Employee Retirement Income Security…

Beth KnoxSeptember 27, 2021

Operations

Report Retention Update in My View Portal

On November 1st Broadridge will be modifying the retention time on the reports available within My View Portal. These reports include, but are not limited to,…

Beth KnoxSeptember 27, 2021

Advisory Solutions Strategic Partners

Save the Date for AssetMark: Impact Assets – Donor Advised Funds

Tuesday, September 28 at 1:00 pm ET The ImpactAssets Donor Advised Fund with AssetMark is an innovative donor advised fund that empowers your clients…

Beth KnoxSeptember 21, 2021

Operations

Important Reminder: Brokerage Account Paper Statement Fee will be Reflected on 9/30/21 Account Statements

In the 3rd quarter of 2021, National Financial Services, LLC. (NFS) will begin assessing a quarterly surcharge for the physical delivery of client trade…

Beth KnoxSeptember 21, 2021

Compliance & Licensing Training

Dept. of Labor (DOL) Info Session Webinars! Sign up TODAY!

DOL Update for ESI Registered RepresentativesHosted by DOL Strategy Team Interested in learning more about potential impact points of the new DOL regulations and…

Beth KnoxSeptember 21, 2021

Product

Reminder: SAVA 5 is Sunsetting

National Life is sunsetting the Sentinel Advantage Variable Annuity (SAVA) in October. The last day to submit an application is October 1.Cases must be…

Beth KnoxSeptember 21, 2021

Advisory Solutions

Maple Capital and Imagine Dragons say “It’s Time”

If you were away in August, you didn’t miss much. For the month, Treasury yields changed very little, with most points along the curve increasing…

Beth KnoxSeptember 14, 2021