Beth Knox – Page 48 – Equity Services, Inc

Removal of Higher Cost Mutual Funds from Some Flagship Select and Directions Accounts

Equity Services Financial Advisors (“EFA”) believes that it is important to provide clients with investments which are in their best interest. This means that…

Beth KnoxApril 5, 2022

Advisory Solutions

PMC Capital Markets Assumptions and Asset Class Portfolios Update

As a reminder, the updated Capital Markets Assumptions (CMAs) and Asset Class Portfolios (ACPs) recently went into effect on the Envestnet platform. Read more…

Beth KnoxApril 5, 2022

Compliance & Licensing Product

Mutual Fund Switching Activity

Switching is the selling or redemption of one mutual fund with a sales charge to buy another mutual fund with a sales charge. Recommended…

Beth KnoxApril 5, 2022

Compliance & Licensing

Read the Most Recent Version of Compliance Alliance

The ESI Compliance Alliance is a quarterly publication that summarizes industry news and/or regulatory events that may impact our business. The Compliance Alliance focuses…

Beth KnoxApril 5, 2022

Compliance & Licensing

A Note from Ata

It is with mixed emotion that I announce Scott Solod, our Chief Compliance Officer (CCO), has decided to pursue his career outside of National Life…

Beth KnoxMarch 30, 2022

Advisory Solutions

Investment News Lists 10 Largest TAMPs of 2022

Great news! The 10 largest TAMP’s were just published in Investment News, and ESI’s advisory platform was very well represented! EnvestnetAssetMarkSEIOrion / Brinker Click…

Beth KnoxMarch 29, 2022

Best Practices Strategic Partners

New Practice Management Piece from Jackson National

The COVID-19 pandemic has unquestionably affected the financial professional-client relationship. While many clients, and their financial professionals, have opted for virtual meetings as opposed…

Beth KnoxMarch 29, 2022

Prospecting & Marketing

I’m Engaged! Now What?

Hearsay Social allows you to compliantly use social media to build your brand. With features like pre-scheduling, Hearsay allows you to plan and automate…

Beth KnoxMarch 29, 2022

Advisory Solutions Training

Don’t Miss this Webinar! Sign Up TODAY!

Savos Strategies: Customized Asset Management Solutions Through AssetMark Please join Savos Strategies to learn about their customized, cost-effective and tax-efficient advisory solutions. Savos is a…

Beth KnoxMarch 29, 2022

Advisory Solutions Operations

Recent Debit Card Fraud Trend

From Fidelity Fidelity Alert 22A-88Recent debit card fraud trend We have seen an increase in fraudulent debit card activity resulting from cardholders being scammed…

Beth KnoxMarch 23, 2022