Beth Knox – Page 62 – Equity Services, Inc

Training

Sign Up Today! ESI Rep Insights – 2021 Episode 3: Everything Evolves!

“What would happen to your business if you added $10 million in investment advisory assets under management to your practice?” That was the question…

Beth KnoxJuly 20, 2021

Compliance & Licensing Operations

Coming Soon: NFS Quarterly Surcharge for Physical Confirmation and Statements!

In the 3rd quarter of 2021, National Financial Services, LLC. (NFS) will begin assessing a quarterly surcharge for the physical delivery of client trade…

Beth KnoxJuly 20, 2021

Product

Updated Alternative Mutual Fund List!

The approved and restricted alternative mutual funds, as well as the watch lists have been updated. Below is a summary of the requirements for…

Beth KnoxJuly 20, 2021

Operations

Have a Direct Business Transaction? Give ESI Suitability a Ring!

The ESI Suitability team encourages you to contact us about your upcoming Direct Business transactions so that we may discuss big picture suitability topics…

Beth KnoxJuly 20, 2021

Advisory Solutions

Save the Date for ESI’s Leadership Field Update

Please join ESI’s Senior Leadership Team for our Quarterly Field Update series. In this session, we’ll be reviewing the activities and results of Q2…

Beth KnoxJuly 13, 2021

Operations

ESI Call Center Sub Menu Options Changing

To better serve the you and your clients, effective July 26, 2021, ESI will be changing its call center queue options. We will also…

Beth KnoxJuly 13, 2021

Advisory Solutions Operations

SEI Investment Advisory Agreement Updated

The SEI Investment Advisory Agreement has been updated and is now available within Merrill Forms and is expected to be available in Docupace 07/15/2021.…

Beth KnoxJuly 13, 2021

Compliance & Licensing

Recent WSP and ADV Part 2A Updates

Field Notice 2021-20: Form ADV Part 2A UpdateEffective July 1, 2021, ESI Financial Advisors (“EFA” or “the Firm”) updated its Form ADV Part 2A…

Beth KnoxJuly 13, 2021

Product

Now Available: Equitable’s Structured Capital Strategies Plus VA

ESI is pleased to announce that Equitable’s new registered index linked variable annuity, Structured Capital Strategies Plus 21 is now available. This is Equitable’s…

Beth KnoxJuly 13, 2021

Operations

DocuSign Eligibility – Over 90% of Our Vendor Sales!

In many ways, COVID-19 caused a rapid shift towards new technology solutions for registered representatives and their clients. The adoption of new technology tools…

Beth KnoxJune 29, 2021