Beth Knox – Page 4 – Equity Services, Inc

ESI, NYSE, and NASDAQ will be Closed on Monday, May 25th, Memorial Day

ESI will be closed Monday May 25th in observance of Memorial Day. We will re-open Tuesday, May 26th with normal business hours. We hope…

Beth KnoxMay 13, 2026

Operations

Updated Guidance: Mutual Fund Platform Fee Disclosure Requirements

We are re-issuing this notice originally circulated in 2025 to ensure you have the most accurate and up-to-date information. Recent changes adopted by vendors…

Beth KnoxMay 12, 2026

Best Practices Prospecting & Marketing

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