Operations – Equity Services, Inc

Operations

POSTPONED: Important Trading Change – Enhanced Buying Power Controls

The National Financial Services (NFS) enhancement to Buying Power controls for ESI brokerage accounts, originally scheduled to take effect October 16, 2026, has been…

Beth KnoxOctober 6, 2026

Best Practices Operations Technology

Coming This Month: RightBRIDGE Annuity Wizard — at No Cost to You

ESI continues to invest in technology designed to make it easier to do business. The latest addition to our technology ecosystem, RightBRIDGE Annuity Wizard,…

Beth KnoxOctober 6, 2026

Compliance & Licensing Firm Update Operations Technology

New Docupace Workflow Simplifies Due Diligence and Marketing Reimbursement Submissions

Marketing Reimbursements, Training Attendee Certifications, and Day Meeting Offeror Certifications can now be submitted directly to ESI Compliance through Docupace. Instead of emailing forms…

Mallorie ManoshOctober 1, 2026

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 1, 2026

Operations Technology

Wealthscape Mobile App – Equity Trading Coming October 7th

Effective October 7, 2026, entitled users will be able to place equity trades directly through the Wealthscape mobile app. The enhancement provides greater flexibility…

Beth KnoxSeptember 22, 2026

Best Practices Operations

2026 NFS Required Minimum Distribution (RMD) Notifications

National Financial Services (NFS) will soon provide its annual Required Minimum Distribution (RMD) notification to eligible Premiere Select retirement account clients. The notification will…

Beth KnoxSeptember 22, 2026

Compliance & Licensing Operations

2026 Supervisors Forum: Strengthening Supervision Through Real-World Learning

ESI supervisors recently gathered in Addison, Texas, for the 2026 Supervisors Forum—an opportunity to strengthen supervisory practices, exchange perspectives and sharpen the skills needed…

Mallorie ManoshSeptember 3, 2026

Operations

Wealthscape Investor Login Experience Changing August 20

Action Required: Clients using the Wealthscape Investor portal should verify that their security contact information (email address and phone number) is up to date…

Beth KnoxAugust 4, 2026

Operations

Suitability Spotlight #4: Every Word Counts

Just like a misplaced comma on a bank statement can cause confusion, a misplaced word in your sales rationale can create unintended expectations and…

Mallorie ManoshJuly 30, 2026

Advisory Solutions Operations

Upcoming eDelivery Campaign to Clients

During the week of August 3rd, your clients will receive an email inviting them to enroll in eDelivery for their Online Brokerage Account. This…

Mallorie ManoshJuly 30, 2026