Compliance & Licensing – Page 7 – Equity Services, Inc

Reminder! 2022 Renewal Kits Are Due November 10th!

Annual renewals were distributed via email on October 6 and are due back to ESI Licensing by November 10. If you need another copy…

Beth KnoxNovember 2, 2021

Advisory Solutions Compliance & Licensing

Don’t forget to get that Advisor as PM Continuing Education Done

ESI’s 2021 Continuing Education Program for Advisors using the ESI Illuminations Flagship Select or Directions programs is now available on the FIRE Solutions website. …

Beth KnoxOctober 26, 2021

Compliance & Licensing Training

Ready for some DOL training? Catch the recording here!

First things first… CLICK HERE FOR THE DOL OVERVIEW RECORDING. Now, let’s talk about education and recommendations… As we discussed in our last communication,…

Beth KnoxOctober 19, 2021

Compliance & Licensing

Reminder! We Sent You Your 2022 Renewal Kit Last Week!

Annual renewals were distributed via email on October 6 and are due back to ESI Licensing by November 10. If you need another copy…

Beth KnoxOctober 12, 2021

Compliance & Licensing

While We’re on the Topic of Training… Firm Element is Here!

Both the 2021 Annual Compliance Meeting (“ACM”) and the 2021-2022 Firm Element continuing education (“CE”) program are available in FIRE Solutions (“FIRE”) for all…

Beth KnoxOctober 12, 2021

Compliance & Licensing

Reminder: Complete Your ESI Compliance Survey – We’d Love Your Feedback!

Follow this link to the Survey: Take the Survey ESI’S 2021 FEEDBACK JOURNEYIn 2021 ESI’s goals are focused on the growth of our business as…

Beth KnoxOctober 5, 2021

Compliance & Licensing Operations

Reminder: Form CRS Acknowledgement Requirements

Regulation Best Interest (“Reg BI”) introduced a new disclosure document, Form CRS (Client Relationship Summary), which has specific delivery and record retention requirements. This…

Beth KnoxOctober 5, 2021

Compliance & Licensing

2022 Annual Renewals

ESI 2022 Annual Renewal Notices will be distributed via email the first week of October. For any questions, please contact ESI Licensing at 800-344-7437.…

Beth KnoxSeptember 27, 2021

Advisory Solutions Compliance & Licensing Operations

Reminder: Upcoming Important Dates!

Important Reminder: Brokerage Account Paper Statement Fee will be Reflected on 9/30/21 Account StatementsIn the 3rd quarter of 2021, National Financial Services, LLC. (NFS)…

Beth KnoxSeptember 27, 2021

Compliance & Licensing

DOL 2.0: What Does It Mean to be a Fiduciary?

Why is this important to me?Before we even begin to explain what it means to be a fiduciary under the Employee Retirement Income Security…

Beth KnoxSeptember 27, 2021

Third party articles are provided for your information only, and have neither been reviewed nor approved to be used with consumers.
Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser. In CO, MO, NH, and WI, Equity Services, Inc. operates as Vermont Equity Services, Inc. National Life Group® is a trade name representing various affiliates, which offer a variety of financial service products.

Equity Services, Inc. • One National Life Drive • Montpelier, VT 05604 • (800) 344-7437 • www.equity-services.com. All third party entities referenced are independent of Equity Services, Inc. unless otherwise stated.

The inclusion of products and/or services in this communication does not constitute authorization to offer products and/or services. Please contact your contracts and licensing department if you are unsure of your ability to offer the products and services mentioned.

ESI consumer materials linked in ESI Insight have been approved as printed handouts only unless otherwise noted. These materials may neither be emailed to clients or the public, or be used for recruiting purposes, until they have been reviewed and approved as an email attachment to which "opt-out" and other disclosure language has been added to comply with federal SPAM laws.

Variable products are sold by a prospectus which contains more complete information. Please have your clients read it and consider carefully the variable product's objectives, risks, charges and expenses before they invest or send money. The prospectus contains this and other information about the investment company.

Third party articles are for information only and have not been reviewed or approved for use with consumers

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