February 2023 – Page 2 – Equity Services, Inc

Incentives

Congratulations to Our ESI Elite Symposium Qualifiers!

Congratulations to everyone who met ESI Elite Symposium qualifications in 2022! We’re looking forward to seeing you at the Ritz-Carlton Bacara, Santa Barbara from…

Beth KnoxFebruary 14, 2023

Operations

New HSA Registration Available for NFS New Account Opening

To continue the enhancement of the guided account opening within Docupace, we've added the ability to create Health Savings Accounts (HSA) via the current…

Beth KnoxFebruary 14, 2023

Advisory Solutions

Changes to the Flagship Program Portfolios

From Envestnet: As part of Envestnet | PMC’s ongoing monitoring and evaluation of model portfolios and investment strategies deployed within, the portfolio management team…

Beth KnoxFebruary 14, 2023

Operations

eSignature Update for Allianz NY

Effective immediately eSignature can be utilized through Docupace/DocuSign for Allianz business in the state of New York. All paperwork available in Docupace for Allianz…

Beth KnoxFebruary 14, 2023

Best Practices

Shout Out to Our January Leaders!

From Annuity sales to Advisory sales to Recruiting, ESI's Leaders deserve a SHOUT OUT! Click here for our individual and agency leaders for the…

Beth KnoxFebruary 14, 2023

Best Practices Prospecting & Marketing Technology

“Introduction to Riskalyze” Recording Now Available

Riskalyze helps you illustrate your expertise through the lens of risk. Approved for all ESI Investment Advisor Reps, Riskalyze allows you to quantify your…

Beth KnoxFebruary 7, 2023

Operations

Municipal Bond Transaction Procedures

Overview of MSRB Rule G-47Rule G-47 (“Rule”) requires brokers, dealers, and municipal securities dealers (collectively, “dealers”) to disclose to their customers, at or prior…

Beth KnoxFebruary 7, 2023

Compliance & Licensing

Changes to FINRA CE Requirements

Regulatory Element CEEffective January 1, 2023, all registered persons are required to complete FINRA’s Regulatory Element CE by December 31st each year. This represents…

Beth KnoxFebruary 7, 2023

Compliance & Licensing Training

Don’t Miss These Upcoming Webinars and Calls!

ESI 2023 Kick Off CallPlease join ESI’s Executive Leadership Team for our 2023 Kick Off call! We’ll take a quick look back at the…

Beth KnoxFebruary 7, 2023