Operations – Page 12 – Equity Services, Inc

Operations

Annual IRA Custody Fee Reporting and Deadline

On January 1, 2022, a Wealthscape report (Retirement Account Annual Fees with Core Cash Balance) was delivered to users via the automated alerts system.…

Beth KnoxJanuary 4, 2022

Compliance & Licensing Operations

Upcoming Important Year End Dates

Licensing Deadlines TOMORROW! December 31, 2021: Annual Compliance Meeting requirement do for all registered reps. Operations Deadlines December 30th and 31st, 2021: IRA DistributionsDecember…

Beth KnoxDecember 27, 2021

Compliance & Licensing Operations

DOL Update Reminder: Important Reminders Regarding Form Updates and Best Practices for New Forms

Changes Effective as of 12/20/21For ERISA fiduciaries selling insurance products in IRAs, compliance with Prohibited Transaction Exemption (PTE) 84-24 requires that you disclose your…

Beth KnoxDecember 20, 2021

Operations

New Wealthscape Investor Account Linking Authorization Form

ESI has created a new form to allow clients to household their accounts online to be able to view 3rd party accounts under one…

Beth KnoxDecember 7, 2021

Compliance & Licensing Operations

Important Deadlines and Dates to Remember

Licensing Deadlines December 17, 2021: ESI Deadline to get any registration, amendment, or termination request in to allow for ample year and processing as…

Beth KnoxDecember 7, 2021

Operations

Time-Saving Enhancements to Docupace Coming Tomorrow!

Auto-Escalation of Direct Business Work Items to Home OfficeTo assist in complying with firm custody deadlines, ESI is implementing auto- escalation of direct business…

Beth KnoxNovember 30, 2021

Operations

How is Thanksgiving Next Week???

Our hours next week are a little sporadic! You might want to take note: 11/24 – National Life closed, NYSE open until 4 –…

Beth KnoxNovember 16, 2021

Operations

Wealthscape Investor: Addition of Extra Security to the New User Registration Process

In an ongoing effort to enhance platform security, new Wealthscape Investor users will now be able to register using extended security. They will select…

Beth KnoxNovember 16, 2021

Compliance & Licensing Operations

Coming Soon for IARs! Documenting Annual Client Contact in Starting Point/Docupace

We heard your feedback regarding documenting your Annual Client Contacts and have made the process easier within Docupace/Starting Point. Beginning November 29th, you will…

Beth KnoxNovember 16, 2021

Operations Product

Offer More Value to Your Clients with The Premiere Select Health Savings Account (HSA)

What is an HSA? An HSA gives individuals the flexibility to manage today's qualified medical expenses and plan, save, and invest for future health care…

Beth KnoxNovember 9, 2021

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
TC7606693(0225)3 | Privacy and Legal Information