In accordance with the annual update requirement of DOL Rule 408(b)(2), ESI has posted its updated revenue sharing arrangement disclosure document to its public website (www.equity-services.com). Clients who sponsor ERISA-governed accounts will receive a notification in the mail announcing the update and how to obtain additional information.
Client Mailing
A notification of the update will be mailed to all sponsors of ERISA-governed accounts (click here for sample letter). This letter serves solely as a notification that there’s been an update to the Firm’s disclosures and where the information can be found. There is no action necessary on the part of the recipients or Registered Representatives.
Clients with questions are directed to their Representative.
Questions
If you have any questions regarding this notice, please contact ESI Compliance at 800-344-7437.
TC131987(0223)1