All Posts – Page 89 – Equity Services, Inc

A Research Note from Envestnet PMC – Watch List Addition

Summary Symmetry Partners (“Symmetry”) recently announced that Dana D’Auria, CFA, Managing Director, Portfolio Manager, will be leaving Symmetry at the end of September. D’Auria…

Beth KnoxSeptember 22, 2020

Product

401k Retirement Plan Options from American Funds and TD Ameritrade Now Available

OverviewTwo new 401k retirement plan options are now available to Investment Advisor Representatives. Capital Group, home of American Funds, offers flexible retirement plan solutions,…

Beth KnoxSeptember 22, 2020

Operations Product

Important Read: Changes to VA Contracts Delivery

Historically, when a variable annuity was sold, the practice was to send the contract directly to the Rep who then delivered it to the…

Beth KnoxSeptember 22, 2020

Prospecting & Marketing Strategic Partners

7 Ingredients That Make You Truly Authoritative in Your Clients’ Eyes

One of the greatest accolades you can receive from a client is the declaration that you are an authority in your field. Even better…

Beth KnoxSeptember 15, 2020

Compliance & Licensing Operations Technology

Non-Registered Fingerprinted Person (NRF) Kit Update!

ESI’s NRF kit used to affiliate administrative, non-licensed staff has recently been updated. New to the kit is a fourth page, dedicated to ESI…

Beth KnoxSeptember 15, 2020

Product Prospecting & Marketing

401k Retirement Plan Options from American Funds and TD Ameritrade Now Available

OverviewTwo new 401k retirement plan options are now available to Investment Advisor Representatives. Capital Group, home of American Funds, offers flexible retirement plan solutions,…

Beth KnoxSeptember 15, 2020

Compliance & Licensing Operations

ACE: General Reminder & Accessing Information

This notice is a reminder that all ESI Registered Representatives have online access to view their individual licensing information, as it’s recorded in the…

Beth KnoxSeptember 15, 2020

Advisory Solutions

2021 Annual Renewal Process

With the end of the year fast approaching, it is time to start thinking about renewing your securities registrations for the coming year. Renewal…

Beth KnoxSeptember 15, 2020

Advisory Solutions

Tapping into Maple: Stock Splits – Nothing to See Here or Big News?

Another great article from Maple Capital! Click here to read what they have to say. Third party articles are for information only and have…

Beth KnoxSeptember 8, 2020

Compliance & Licensing

Fall is Here, Which Means so is Firm Element!

2020-2021 Firm Element Continuing Education - Field The 2020-2021 Firm Element continuing education (“CE”) courses are now available in FIRE Solutions (“FIRE”) for all…

Beth KnoxSeptember 8, 2020