Operations – Equity Services, Inc

A Clear View of Your ESI Home Office Team

At ESI, relationships are at the center of everything we do—and that starts with making it easy to connect with the right people, at…

Mallorie ManoshJanuary 27, 2026

Best Practices Operations

Now Available in Wealthscape: Roth Conversion Analyzer

The Brokerage and Advisory Operations area typically sees an influx of Roth conversion requests in tax deadline season. You now have access to a…

Beth KnoxJanuary 8, 2026

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

Best Practices Operations

Suitability Spotlight: Case Preview Best Practices

As part of our ongoing efforts to improve efficiency and reduce delays, we encourage all registered representatives to preview certain new business submissions with…

Beth KnoxNovember 18, 2025

Best Practices Operations

Mutual Fund Custodial Fees Disclosures Reminder

We are re-issuing this notice to ensure you have the most accurate and up-to-date information. Upon recent review, we identified that the original communication…

Beth KnoxNovember 18, 2025

Operations

Maximizing Your ESI Brokerage Account: Understanding NFS Select Access and Premier Access

A Brokerage Account That Does More Your clients’ brokerage accounts held through National Financial Services LLC (NFS) offer far more than a place to…

Beth KnoxNovember 18, 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

Operations

2025 IRA Maintenance Fee Cycle Reminder

From ESI Brokerage Operations: Last month, we shared an important update about the 2025 NFS IRA Maintenance Fee Cycle—including key dates and details. If…

Beth KnoxNovember 4, 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

Best Practices Operations

In Case You Missed It: 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

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

For Registered Representative Use Only – Not For Use With The Public
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