Beth Knox – Equity Services, Inc

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

Operations

New Date of Death Valuation Service Now Available

Equity Services, Inc. is pleased to announce a new Date of Death (DOD) valuation service available through our clearing firm, National Financial Services (NFS).…

Beth KnoxMarch 17, 2026

Advisory Solutions Training

Assessing Market Impacts After the Iran Strikes, with Fidelity’s Paul Ma

Upcoming ESI Hosted Webinar Assessing Market Impacts After the Iran Strikes Presenter: Paul Ma, VP and Lead Portfolio Strategist for Wealth Advisory & Portfolio…

Beth KnoxMarch 5, 2026

Product

Kansas Learning Quest Advisor 529 Plan – Changes to Direct

Effective March 30, 2026, the Learning Quest Advisor Program will consolidate into the direct sold Quest529 Education Savings Plan (Quest529). Prior to and in…

Beth KnoxFebruary 17, 2026

Operations

Updated Click-to-Agree Email Enhances eDelivery Enrollment Experience

We’re pleased to share an enhancement that will make it easier for clients to enroll in eDelivery. Fidelity is refreshing the Clearing Click-to-Agree email…

Beth KnoxFebruary 17, 2026