Operations – Equity Services, Inc

Jackson Market Link Pro 4 Approved

ESI is pleased to announce that Jackson Market Link Pro 4 has been approved and is available as of June 8, 2026. Market Link…

Beth KnoxJune 9, 2026

Firm Update Operations

Updated ERISA Disclosure Guidance Now Available

To help ensure the correct documentation is used for qualified plan business, ESI Suitability has updated its guidance regarding ERISA Disclosure and Agreement requirements.…

Mallorie ManoshMay 29, 2026

Operations

Updated Guidance: Mutual Fund Platform Fee Disclosure Requirements

We are re-issuing this notice originally circulated in 2025 to ensure you have the most accurate and up-to-date information. Recent changes adopted by vendors…

Beth KnoxMay 12, 2026

Operations

Completing the NFS Suitability Section: Guidance for Accuracy and Consistency

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 KnoxMay 5, 2026

Operations

Postmark Changes and IRA Contribution Deadlines

As we approach the tax filing deadline, we want to make you aware of an important operational change from the U.S. Postal Service (USPS)…

Beth KnoxApril 2, 2026

Compliance & Licensing Operations Product

Suitability Spotlight: Class A Share Redemptions

Key Considerations for Client Best Interest Recently, we’ve observed an increase in redemptions of Class A mutual fund shares within a short period after…

Mallorie ManoshMarch 26, 2026

Operations

New Date of Death Valuation Service Now Available

Equity Services, Inc. is pleased to announce a new Date of Death (DOD) valuation service available through our clearing firm, National Financial Services (NFS).…

Beth KnoxMarch 17, 2026

Operations

Moving Qualified Assets

Moving Qualified Assets - Which Form Do I Use? Moving assets between qualified retirement accounts (401(k)s, pensions, IRAs, Roth IRAs, etc.) requires additional documentation…

Mallorie ManoshMarch 12, 2026

Operations Technology

ESI Commissions Portal (ACE) Maintenance

The ESI Commissions Portal (ACE) will be unavailable due to required system maintenance beginning Friday, March 13th at 7:00 PM ET (4:00 PM PT).…

Mallorie ManoshMarch 12, 2026

Operations

Updated Click-to-Agree Email Enhances eDelivery Enrollment Experience

We’re pleased to share an enhancement that will make it easier for clients to enroll in eDelivery. Fidelity is refreshing the Clearing Click-to-Agree email…

Beth KnoxFebruary 17, 2026