Beth Knox – Page 2 – Equity Services, Inc

Trusted Contact Person

A trusted contact can be an important safeguard for your clients. A simple conversation today can help protect a client when circumstances change tomorrow.…

Beth KnoxSeptember 24, 2026

Compliance & Licensing

Compliance Calendar

Here are some important upcoming Compliance dates to remember. CE Deadline: October 30 Branch Exam Deadline: October 30 Renewal Deadline – October 30 Quarterly…

Beth KnoxSeptember 24, 2026

Compliance & Licensing

Outside Business Activities and Private Securities Transactions

Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) can create significant regulatory, financial, reputational, and customer-protection risks. Representatives should remember that all OBAs…

Beth KnoxSeptember 24, 2026

Compliance & Licensing

Senior Financial Exploitation

As part of ESI’s ongoing efforts to keep you informed, we wanted to highlight the continued rise in senior financial exploitation and the important…

Beth KnoxSeptember 24, 2026

Operations Technology

Wealthscape Mobile App – Equity Trading Coming October 7th

Effective October 7, 2026, entitled users will be able to place equity trades directly through the Wealthscape mobile app. The enhancement provides greater flexibility…

Beth KnoxSeptember 22, 2026

Best Practices Operations

2026 NFS Required Minimum Distribution (RMD) Notifications

National Financial Services (NFS) will soon provide its annual Required Minimum Distribution (RMD) notification to eligible Premiere Select retirement account clients. The notification will…

Beth KnoxSeptember 22, 2026

Best Practices

When Life Changes, Financial Conversations Matter

Life milestones can bring excitement, uncertainty and new priorities. They can also create important opportunities for financial professionals to check in with clients and…

Beth KnoxAugust 26, 2026

Product

Now Available at ESI: Cantor Fitzgerald Infrastructure Fund

We are pleased to announce that the Cantor Fitzgerald Infrastructure Fund is now available for ESI to offer to appropriate clients. Join the Webinar…

Beth KnoxAugust 13, 2026

Best Practices Firm Update Training

BDC Registration Closes Friday, Don’t Miss Out

Don't miss out - registration closes Friday, August 7th. September 8–10, 2026 The Westin Alexandria Old Town Alexandria, Virginia Register Today Running a successful…

Beth KnoxAugust 4, 2026

Best Practices Firm Update

Bank Deposit Sweep Program Resource Page Now Available

Financial professionals now have a dedicated destination for information and resources related to the Bank Deposit Sweep Program. The new digital resource page brings…

Beth KnoxAugust 4, 2026