Operations – Equity Services, Inc

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

Best Practices Operations

Reminder: NIGO Fee and Process Changes Effective 11/01/2025

This is a reminder that the changes outlined in Field Notice 2025-16: Reducing Not In Good Order (NIGO) Business will take effect starting 11/01/2025.…

Beth KnoxOctober 22, 2025

Best Practices Operations

Seasonal Address Changes… and what the heck is Snowliage?

At the time of writing this, it’s a brisk 28 degrees here in Montpelier — which can only mean one thing: snow is on…

Mallorie ManoshOctober 14, 2025

Operations Technology

FMAX Affirmative Consent Tracking

FMAX Affirmative Consent Letters – Update As previously communicated, Affirmative Consent Letters were successfully mailed to impacted clients on September 8, 2025. Clients have…

Beth KnoxSeptember 24, 2025

Best Practices Operations Prospecting & Marketing

From Risk to Revenue: The Opportunity in IRA Beneficiary Updates

Undesignated beneficiaries put client assets at risk — and create a powerful opportunity for you to engage, add value, and expand your practice. As…

Mallorie ManoshSeptember 15, 2025

Operations Technology

Possible Impact to ACH Payments with PNC Bank Policy Change

Earlier this week, AdvicePay shared a courtesy notice regarding a recent policy change from PNC Bank that may affect ACH payments across all payment…

Mallorie ManoshSeptember 15, 2025

Best Practices Operations Product

Clear Conversations: Setting the Right Expectations for FIAs and RILAs

As financial professionals, our credibility comes from being clear, accurate, and client-focused. One area where we can make a big impact is how we…

Mallorie ManoshSeptember 15, 2025

Operations

Best Practices: Completing the NFS Application Suitability Section

The NFS Application requires capturing a wide range of client data points. We recognize that the Suitability Section can be difficult to complete consistently,…

Beth KnoxSeptember 8, 2025

Best Practices Firm Update Operations

Improving Processing Times and Reducing NIGOs

We’re making a few important updates to help streamline transaction processing, reduce Not In Good Order (NIGO) submissions, and make better use of the…

Mallorie ManoshAugust 5, 2025

Operations

Get to know your ESI Brokerage Operations Service Team!

We’re excited to introduce the dedicated individuals behind the voices you hear every day. Our team is proud to support ESI advisors and registered…

Mallorie ManoshJuly 16, 2025

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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.

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