All Posts – Page 94 – Equity Services, Inc

Field Notices 2020-25 & 2020-26 Written Supervisory Procedures Updates

FN2020-25: ESI Written Supervisory Procedures Update FN2020-26: EFA Written Supervisory Procedures Update TC115675(0720)1

Beth KnoxJuly 15, 2020

Compliance & Licensing

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 15, 2020

Prospecting & Marketing

Keeping Momentum in Challenging Times

The third installment of Rep Insights: A Conversation Together featured Nick Pontilena of Integrated Financial Concepts in New Jersey and Travis Ramsdell of the…

Beth KnoxJuly 6, 2020

Product Prospecting & Marketing

Goldman Sachs Select: A Liquidity Solution for Your Clients

Are your clients looking for a liquidity solution that doesn’t involve liquidating their investment portfolios? Securities-based lines of credit, (SBLOC) allow borrowers to access…

Beth KnoxJuly 6, 2020

Compliance & Licensing Operations

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 6, 2020

Advisory Solutions Product

Fidelity Target Allocation Model Portfolio Changes

Click here for important updates regarding change to the Fidelity Target Allocation model portfolios. TC115488(0720)1

Beth KnoxJuly 6, 2020

Compliance & Licensing Operations

Reg BI New Resource Spotlight: New Forms Grid

A new document - Reg BI - Paperwork Requirements Based on Recommendations– provides a quick reference overview of forms necessary when making a recommendation…

Beth KnoxJuly 6, 2020

Operations

Reminder: 4th of July Holiday Hours

In observance of the 4th of July Holiday, ESI will be closed Friday July 3rd. We will be back on-line and ready to help…

Beth KnoxJune 30, 2020

Advisory Solutions

Intro to BlackRock ESG Portfolios – Recording Now Available

Your next generation of clients are demanding long term positive ESG change from their investments. Learn how BlackRock can help you meet these needs…

Beth KnoxJune 30, 2020

Advisory Solutions Product

Important Product Updates

Brinker Capital and Orion Advisor Solutions to MergeFrom Brinker Capital:I am pleased to share some exciting news: Brinker Capital has entered into a merger…

Beth KnoxJune 30, 2020