Operations – Page 2 – Equity Services, Inc

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

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 14, 2025

Operations Technology

FMAX Affirmative Consent Tracking

FMAX Affirmative Consent Letters – Update As previously communicated, Affirmative Consent Letters were successfully mailed to impacted clients on September 8, 2025. Clients have…

Beth KnoxSeptember 24, 2025

Best Practices Operations Prospecting & Marketing

From Risk to Revenue: The Opportunity in IRA Beneficiary Updates

Undesignated beneficiaries put client assets at risk — and create a powerful opportunity for you to engage, add value, and expand your practice. As…

Mallorie ManoshSeptember 15, 2025

Operations Technology

Possible Impact to ACH Payments with PNC Bank Policy Change

Earlier this week, AdvicePay shared a courtesy notice regarding a recent policy change from PNC Bank that may affect ACH payments across all payment…

Mallorie ManoshSeptember 15, 2025

Best Practices Operations Product

Clear Conversations: Setting the Right Expectations for FIAs and RILAs

As financial professionals, our credibility comes from being clear, accurate, and client-focused. One area where we can make a big impact is how we…

Mallorie ManoshSeptember 15, 2025

Operations

Best Practices: Completing the NFS Application Suitability Section

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 KnoxSeptember 8, 2025