All Posts – Page 30 – Equity Services, Inc

Save the Date for the ESI Leadership Field Update

Presented by ESI Leadership - Quarterly Field Update: Q2 2023Tuesday, May 9th – 2:00 pm ESTClick Here to RegisterAfter registering, you will receive a…

Beth KnoxApril 25, 2023

Compliance & Licensing

Reporting of Branch and Non-Branch Locations

FINRA Supervision Rule 3110 outlines certain criteria for branch and non-branch offices, and inspection requirements. During COVID, FINRA offered temporary relief regarding where associated…

Beth KnoxApril 25, 2023

Prospecting & Marketing Technology

Limited Time Offer from eMoney and ESI

ESI is excited to offer a promotion with eMoney. For a limited time, when you add a user or upgrade your planning subscription, you'll…

Beth KnoxApril 25, 2023

Product

Alternative Mutual Fund Lists – Q1 2023 Updates

The alternative mutual fund lists have been updated for Q1 2023. To view the updated lists, click here: https://www.nationallife.com/agent/products/investments/mutual-funds Approved and Prohibited Alternative Mutual…

Beth KnoxApril 25, 2023

Prospecting & Marketing Strategic Partners

The Value of Income Planning

Many clients worry about their retirement savings lasting their lifetime and some are apprehensive to discuss the issue - even with their financial professional.…

Beth KnoxApril 18, 2023

Product Strategic Partners

Updated Lincoln Sales Map

At Lincoln, our number one job is helping our customers realize financial security - for today and tomorrow. Click here for our updated Sales…

Beth KnoxApril 18, 2023

Compliance & Licensing Product

Annuities Funded by 401(k) Rollovers

To comply with Regulation Best Interest and Department of Labor regulations, firm policy requires 401(k) rollovers to be identified as the result of either…

Beth KnoxApril 18, 2023

Best Practices Prospecting & Marketing Training

Join us for “Providing Value Beyond the Basis Points”

For a long time, the value that a financial advisor brought to a client was measured in their ability to outperform the markets. The…

Beth KnoxApril 11, 2023

Best Practices Compliance & Licensing Training

Updates to Documenting Client Reviews

Updates to Documenting Client Reviews Investment Adviser Representatives (“IARs”) must meet with their advisory clients on at least an annual basis to ensure the…

Beth KnoxApril 11, 2023

Best Practices

Fixed Income Commentary from Maple Capital Now Available

The Madness of March March was one of the most eventful and volatile months in the fixed income market in some time. The sudden…

Beth KnoxApril 11, 2023