Beth Knox – Page 55 – Equity Services, Inc

DOL Update Reminder: Important Reminders Regarding Form Updates and Best Practices for New Forms

Changes Effective as of 12/20/21For ERISA fiduciaries selling insurance products in IRAs, compliance with Prohibited Transaction Exemption (PTE) 84-24 requires that you disclose your…

Beth KnoxDecember 20, 2021

Compliance & Licensing

Reminder: Gift Reporting in Star Compliance

During the holiday season, and throughout the year, many registered representatives (“RRs”) and associated persons (i.e. fingerprinted persons) give or receive gifts. While ESI…

Beth KnoxDecember 20, 2021

Prospecting & Marketing

Updates to the White Glove Seminar Submission Process

White GloveSeminar/Webinar System White Glove provides comprehensive seminar services to agents and Registered Representatives. How it WorksWhite Glove’s seminar services include the following: Pre-Event…

Beth KnoxDecember 15, 2021

Strategic Partners

Pacific Life Joins ESI’s Variable Annuity Strategic Partner Program

ESI is very happy to announce that Pacific Life has joined our Strategic Partner Program. Pacific Life’s variable annuities are now eligible for qualified…

Beth KnoxDecember 15, 2021

Advisory Solutions Technology

AdvicePay Now Available – Collect Financial Planning Fees Via Credit Card!

Writing a physical check has become obsolete for most business. Why not make it obsolete for yours? ESI is proud to announce the addition…

Beth KnoxDecember 7, 2021

Operations

New Wealthscape Investor Account Linking Authorization Form

ESI has created a new form to allow clients to household their accounts online to be able to view 3rd party accounts under one…

Beth KnoxDecember 7, 2021

Advisory Solutions

Resources for Measuring Account Performance

Over the past few weeks, we’ve introduced new resources to help advisors who manage accounts in either of ESI Illuminations advisor-as-portfolio manager (APM) programs.…

Beth KnoxDecember 7, 2021

Advisory Solutions

Touchstone Income Strategy Allocation Changes

From Touchstone Investments:Modest changes were made to the Touchstone Income Strategy through the addition of two mutual fund investments. These funds should enhance the…

Beth KnoxDecember 7, 2021

Compliance & Licensing Operations

Important Deadlines and Dates to Remember

Licensing Deadlines December 17, 2021: ESI Deadline to get any registration, amendment, or termination request in to allow for ample year and processing as…

Beth KnoxDecember 7, 2021

Operations

Time-Saving Enhancements to Docupace Coming Tomorrow!

Auto-Escalation of Direct Business Work Items to Home OfficeTo assist in complying with firm custody deadlines, ESI is implementing auto- escalation of direct business…

Beth KnoxNovember 30, 2021