All Posts – Page 97 – Equity Services, Inc

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

Compliance & Licensing

Reg BI Spotlight: New Training and Reference Resources

Reg BI: Where do I start?ESI has provided training resources in multiple formats to help you get up-to-speed quickly. Below is a suggested training…

Beth KnoxJune 23, 2020

Operations Product

Regulation Best Interest – Slight Modification to Fidelity Core Account Offerings

Effective June 30th, there will be a minor modification to Fidelity Core Account availability for your ESI Brokerage and Illuminations accounts. Default Core Money…

Beth KnoxJune 23, 2020

Compliance & Licensing

Recent Reg BI Related Field Notices

FN2020-20: No-Load Mutual Funds and Exchange-Traded Funds (ETFs) FN2020-21: Reg BI Sales Contest Incentives TC115293(0620)1

Beth KnoxJune 23, 2020

Product

Four New FIT Single Premium Index Annuities Coming at the End of June!

ESI has now approved the new FIT Single Premium Index Annuities being launched at the end of this month! Paperwork will be immediately available…

Beth KnoxJune 23, 2020

Compliance & Licensing Training

Regulation BI Mandatory and Supplemental Training

Mandatory Comprehensive Reg BI Training Now Available Through FIRE Solutions (“FIRE”) – Field Notice 2020-Registered Representatives and certain Home Office personnel must complete the…

Beth KnoxJune 16, 2020

Advisory Solutions Training

New Training and Updated Marketing Materials for Illuminations

New Training Resource:Help Clients Ease into the Market with Dollar Cost Averaging on ESI IlluminationsDuring times of market fluctuation, investors may choose to take…

Beth KnoxJune 16, 2020