Operations – Page 9 – Equity Services, Inc

How Is Your Annual Client Contact Going?

Documenting your Annual Client Contacts process has been made easier within Docupace/Starting Point. You can now create your ‘Documentation of Annual Client Contact’ within…

Beth KnoxJanuary 26, 2022

Operations

Reminder: Form Requirement Reduction

In an effort to reduce the number and complexity of forms, ESI has revised the Entity Profile (EP) to include the relevant signing authority…

Beth KnoxJanuary 18, 2022

Operations

Holiday Hours

The markets and ESI will closed on Monday January 17th in observance of the Martin Luther King, Jr. holiday. TC125018(0122)1

Beth KnoxJanuary 11, 2022

Compliance & Licensing Operations

Reminder: Customer Agreement Amendment Effective January 31st

ESI amended its Customer Agreement and Disclosure (“Agreement”) form to comply with elements of Prohibited Transaction Exemption (PTE) 2020-02, which will go into effect…

Beth KnoxJanuary 11, 2022

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

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