Firm Update – Page 2 – Equity Services, Inc

Compliance & Licensing Firm Update Prospecting & Marketing Strategic Partners

New Quick Reference: Understanding Cash & Non-Cash Compensation

How you’re paid — and by whom — matters. To help make compliance easier, ESI has created a Cash & Non-Cash Compensation Quick Reference…

Mallorie ManoshDecember 11, 2025

Advisory Solutions Firm Update Strategic Partners Technology

Illuminations Is Evolving — Get Ready for Better Pricing, Better Support

Big enhancements are coming in January. Here’s how to prepare. In today’s competitive environment, your advisory platform should do more than support your practice—it…

Mallorie ManoshDecember 9, 2025

Firm Update Operations

Plan Ahead for NYSE and ESI Holiday Hours

Please plan ahead for NYSE and ESI Call Center Holiday Hours 12/24 – NYSE open until 1:00 – ESI phones close at 2:00 EST…

Beth KnoxDecember 1, 2025

Firm Update Operations

Important Brokerage Operations Year End Dates & Reminders

As we approach the end of 2025, please review the following key deadlines and reminders to ensure timely processing of all year-end business items.…

Mallorie ManoshNovember 10, 2025

Firm Update

Your Voice Matters – Share Your Feedback

Your Voice Matters As we continue to evolve and strengthen ESI, your insight is invaluable. We’re inviting all registered representatives and advisors to share…

Beth KnoxNovember 6, 2025

Firm Update Operations

The ESI Support Line – What to Expect When You or Your Clients Call

At ESI, our goal is to ensure that you and your clients receive high-quality, timely support—every call, every time. As we move into the…

Mallorie ManoshOctober 23, 2025

Firm Update

Strengthening Our Future Together – Important Updates to 2026 Fees & Compensation

At ESI, our commitment has always been to provide you with the best platform, technology and support to help grow your business and serve…

Mallorie ManoshSeptember 15, 2025

Best Practices Firm Update

Tips for a Smooth 2026 Annual Renewal Process

As we approach year-end, it’s time to prepare for the 2026 Annual Renewal process. Below are the important dates and steps to make sure…

Mallorie ManoshSeptember 8, 2025

Firm Update

ESI and U.S. Stock Market will be Closed on Labor Day

On Monday, September 1, 2025, Equity Services, Inc. (ESI), the New York Stock Exchange (NYSE), the Nasdaq, and U.S. bond markets will be closed…

Beth KnoxAugust 27, 2025

Firm Update Strategic Partners

Notice of Allianz Data Security Incident

Allianz has informed ESI that, on/about July 16, 2025, a malicious threat actor gained access to a cloud-based system it uses. Certain personal information…

Mallorie ManoshAugust 18, 2025