Beth Knox – Equity Services, Inc

Top 5 Ways Financial Advisors Can Increase Referrals

Referrals remain one of the most effective and trusted ways for financial advisors to grow their businesses. Yet many advisors leave this opportunity underdeveloped.…

Beth KnoxMay 5, 2026

Firm Update Product

Jared Vachon Joins ESI as Senior Investment Product Management Associate

Jared Vachon has joined ESI as Senior Investment Product Management Associate, where he focuses on supporting the development and implementation of investment solutions for…

Beth KnoxMay 5, 2026

Operations

Completing the NFS Suitability Section: Guidance for Accuracy and Consistency

The NFS Application requires capturing a wide range of client data points. We recognize that the Suitability Section can be difficult to complete consistently,…

Beth KnoxMay 5, 2026

Advisory Solutions

What’s New on FMAX: Key Enhancements to Boost Efficiency and Advisor Control

Overview Earlier this year, our operational focus for ESI Illuminations was on successfully transitioning to the FMAX platform; an important milestone we’re pleased to…

Beth KnoxApril 16, 2026

Firm Update

ESI Office Will Be Closed Friday, April 3

The ESI office will be closed on Friday, April 3, in observance of Good Friday. The New York Stock Exchange and bond markets will…

Beth KnoxApril 2, 2026

Compliance & Licensing

SEC Activity Assessment Fee Update – Effective April 2026

We are sharing an important regulatory update regarding the SEC Section 31 Activity Assessment Fee, which will impact certain securities transactions beginning in April.…

Beth KnoxApril 2, 2026

Operations

Postmark Changes and IRA Contribution Deadlines

As we approach the tax filing deadline, we want to make you aware of an important operational change from the U.S. Postal Service (USPS)…

Beth KnoxApril 2, 2026

Training

You Are Invited: Grow Your Practice with Intention and Efficiency

Grow Your Practice with Intention and Efficiency Panel Discussion with ESI and Strategic Partners AssetMark, Allianz, and Future Standard Moderated by Brian Nelson, Head of…

Beth KnoxApril 2, 2026

Compliance & Licensing Training

Continuing Education is moving to Quest CE!

Effective April 1, 2026, Equity Services, Inc. will transition its continuing education and training platform to Quest CE. This change is part of our…

Beth KnoxMarch 19, 2026

Market Updates

Market Signals from Fidelity

Article from Fidelity, an ESI Strategic Partner: Positive catalysts amidst the conflict in Iran: Delayed, more volatile, not derailed Understanding the impact of global…

Beth KnoxMarch 17, 2026