Operations – Page 2 – Equity Services, Inc

Operations

Premiere Select Inherited IRA – Beneficiary Claim Enhancement

Over the past few years, ESI Operations has consistently provided feedback to National Financial Services (NFS) regarding the need for a more streamlined process…

Beth KnoxJuly 23, 2024

Best Practices Operations Product

Advisory Fee Payments Coming Soon

Here are a few reminders regarding upcoming advisory fee payments from Illuminations and our Direct Money Managers: Quarterly Advisory fees are typically billed to…

Beth KnoxJuly 9, 2024

Operations

Field Notice: Worthless Security Transactions

ESI has developed a process to assist Brokerage account customers in handling worthless securities. This process aims to help customers declare losses on these…

Mallorie ManoshJuly 9, 2024

Operations

ESI Closed Monday in Observance of Juneteenth Holiday

National Life Group and ESI – along with the NYSE and NASDAQ - will be closed on Monday, June 19, 2023 in observance of…

Beth KnoxJune 13, 2023

Best Practices Compliance & Licensing Operations

Allianz Business Processing Update

The applications for the Allianz Index Advantage+ products are now available in Docupace and should be used for all new Index Advantage business. If…

Beth KnoxMay 18, 2023

Operations

Reminder: Touchstone Dynamic Allocation Mutual Fund Conversion Q4 2023

From Touchstone Investments:As previously announced, on February 16, 2023, the Board of Trustees of the Touchstone Strategic Trust (“Trust”) approved converting the Touchstone Dynamic…

Beth KnoxMay 16, 2023

Advisory Solutions Best Practices Operations Prospecting & Marketing Strategic Partners Training

Recorded Webinar: ESI Illuminations – Custom Solutions with Direct Indexing

Presented by ESI and Envestnet: View the Recorded Webinar With features like broad equity exposure, personalization, low investment management expenses, tax management, and lower…

Beth KnoxMay 9, 2023

Compliance & Licensing Operations

Reminder for Annuity Business in Florida

The Florida Department of Financial Services requires specific obligations to be met when conducting annuity business in their state. While the requirements are not…

Beth KnoxApril 4, 2023

Operations

2022 IRA Contribution Deadline

SummaryThe deadline for making a 2022 IRA Contribution is April 18, 2023. Please note, Emancipation Day in the District of Columbia (DC) will be…

Beth KnoxApril 4, 2023

Advisory Solutions Operations

Forms Updates and New Client Resources from Brokerage Operations

New Client Resource! Depositing Money into a Brokerage Account Utilize this new digital flyer for clients on Depositing Money into a Brokerage Account. Equity…

Beth KnoxMarch 28, 2023

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

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