October 2021 – Page 2 – Equity Services, Inc

A Note from AssetMark

As part of our ongoing evaluation, we have identified strategies that will no longer be offered on the AssetMark platform. Advisors with clients invested…

Beth KnoxOctober 12, 2021

Advisory Solutions

Have You Completed Your 2021 Advisor as Portfolio Manager CE?

ESI’s 2021 Continuing Education Program for Advisors using the ESI Illuminations Flagship Select or Directions programs is now available on the FIRE Solutions website. …

Beth KnoxOctober 12, 2021

Compliance & Licensing

While We’re on the Topic of Training… Firm Element is Here!

Both the 2021 Annual Compliance Meeting (“ACM”) and the 2021-2022 Firm Element continuing education (“CE”) program are available in FIRE Solutions (“FIRE”) for all…

Beth KnoxOctober 12, 2021

Operations

Our Operations Team Has Some Important Updates for You

NFS Client Statement Enhancements Effective 10/30 Beginning in October, ESI Brokerage Account customers will begin receiving a NEW enhanced statement format! The new statement…

Beth KnoxOctober 12, 2021

Advisory Solutions Operations Technology Training

Reminder: Upcoming Important Dates!

November 1, 2021 DeadlineReport Retention Update in My View Portal On November 1st Broadridge will be modifying the retention time on the reports available within My…

Beth KnoxOctober 5, 2021

Advisory Solutions Operations

Envestnet’s Advisor Sales & Practice Solutions Team

Envestnet has recently updated their sales support team map. To access it, simply log in to ESI Illuminations and click on the Platform. You’ll…

Beth KnoxOctober 5, 2021

Product Strategic Partners

Important Notice from Touchstone Investments

IMPORTANT UPDATE Touchstone Fund Name Change & Strategy Change effective October 28, 2021 Touchstone Ohio Tax-Free Bond Fund name change to: Touchstone Core Municipal…

Beth KnoxOctober 5, 2021

Compliance & Licensing

Reminder: Complete Your ESI Compliance Survey – We’d Love Your Feedback!

Follow this link to the Survey: Take the Survey ESI’S 2021 FEEDBACK JOURNEYIn 2021 ESI’s goals are focused on the growth of our business as…

Beth KnoxOctober 5, 2021

Compliance & Licensing Operations

Reminder: Form CRS Acknowledgement Requirements

Regulation Best Interest (“Reg BI”) introduced a new disclosure document, Form CRS (Client Relationship Summary), which has specific delivery and record retention requirements. This…

Beth KnoxOctober 5, 2021