Beth Knox – Page 86 – Equity Services, Inc

Compliance & Licensing Operations Technology

Non-Registered Fingerprinted Person (NRF) Kit Update!

ESI’s NRF kit used to affiliate administrative, non-licensed staff has recently been updated. New to the kit is a fourth page, dedicated to ESI…

Beth KnoxSeptember 15, 2020

Product Prospecting & Marketing

401k Retirement Plan Options from American Funds and TD Ameritrade Now Available

OverviewTwo new 401k retirement plan options are now available to Investment Advisor Representatives. Capital Group, home of American Funds, offers flexible retirement plan solutions,…

Beth KnoxSeptember 15, 2020

Compliance & Licensing Operations

ACE: General Reminder & Accessing Information

This notice is a reminder that all ESI Registered Representatives have online access to view their individual licensing information, as it’s recorded in the…

Beth KnoxSeptember 15, 2020

Advisory Solutions

2021 Annual Renewal Process

With the end of the year fast approaching, it is time to start thinking about renewing your securities registrations for the coming year. Renewal…

Beth KnoxSeptember 15, 2020

Advisory Solutions

Tapping into Maple: Stock Splits – Nothing to See Here or Big News?

Another great article from Maple Capital! Click here to read what they have to say. Third party articles are for information only and have…

Beth KnoxSeptember 8, 2020

Compliance & Licensing

Fall is Here, Which Means so is Firm Element!

2020-2021 Firm Element Continuing Education - Field The 2020-2021 Firm Element continuing education (“CE”) courses are now available in FIRE Solutions (“FIRE”) for all…

Beth KnoxSeptember 8, 2020

Product

From W.P. Carey: CPA:18 Announces Updated NAV and Changes to Redemption Program

Dear Financial Advisor,As COVID-19 continues to have a significant impact on the global economy, we are closely monitoring its effect on all aspects of…

Beth KnoxSeptember 8, 2020

Operations

e-Delivery: It’s as easy as 1-2-3!

Working away at signing up your clients for eDelivery but can’t always remember what to do? No problem! Fidelity a great quick reference guide…

Beth KnoxSeptember 8, 2020

Operations

1-800-344-7437: The Gateway to All Things ESI!

As a reminder, when contacting ESI for support, the quickest way to reach one of our team members is to use our 800#, 800-344-7437…

Beth KnoxSeptember 8, 2020

Prospecting & Marketing Strategic Partners

How to Stay Virtually Connected with Prospects and Clients

To enhance your client connections, consider supplementing in-person meetings and seminars with digital alternatives, such as video conferencing and webinars. Virtual meetings can help…

Beth KnoxSeptember 1, 2020