Follow this link to the Survey: Take the Survey
ESI’S 2021 FEEDBACK JOURNEY
In 2021 ESI’s goals are focused on the growth of our business as well as increasing the number of representatives partnered with us. To achieve these goals, we need confidence that we are providing the best in products and service to all of our field partners. It is our belief that this confidence can only come from getting feedback from our partners we serve, you. Feedback is key for us to learn where our strengths are, where there is room for improvement, and how best to move forward with achieving our goals in 2021.
If you recall, earlier in the year we sent out what we called a Sentiment Survey to representatives in the field, to get a baseline on how ESI is doing at a very high level. We wanted to assess your experience in working with ESI holistically.
Today, we are drilling down a bit and putting our focus specifically on the ESI Compliance department which includes: Investment Advisory Compliance, Electronic Communications, Surveillance, Branch Examinations, Licensing and Registration, Complaints and Regulatory Matters, Continuing Education Programs, Incentives, Gifts and Entertainment. Feedback related to Advertising or Suitability Review should not be included, however our management team is ready to listen should you have a specific issue to discuss.
ESI COMPLIANCE SURVEY
The goal of ESI Compliance is to protect our stakeholders through a solution-driven mindset that prioritizes innovation as a competitive advantage. We strive to provide the best possible service to help you, our partners in the field, grow your business and help your clients achieve their financial goals. We appreciate you helping us toward attaining this goal and being better compliance lifeguards.
With your feedback we can better understand our strengths and weaknesses. It will also allow us the opportunity to correct actions that aren’t helpful and make sure we repeat those that are. After all, your success is our success.
WHO IS ESI COMPLIANCE?
ESI Compliance is made up of a team of compliance lifeguards. Lifeguards scan the waters for danger and educate swimmers of the rules to protect them from harm. Compliance performs these functions in the investment world, protecting the Company from regulatory “danger” and helping employees and registered representatives avoid getting in over their heads.
Your ESI Compliance Team is made up of the following people:
Scott Solod, Rob Lewton, Tom Longfellow, Laura Plourde, Kyla Ward, Penny Vinson, Misty Dodson, Angela Pedley, Gail Woods, Sharlene Mazza, Eric Hopkins, Ben Zarzycki, Stephen Wiggins, Tonya Carrien and Christine Embling.
THANK YOU
We would like to thank you in advance for taking a few minutes to complete the ESI Compliance Survey, as well as any additional Surveys you may be sent throughout the year. We truly believe this feedback will play an important role in helping all of us to reach our goals and be successful.
Follow this link to the Survey: Take the Survey
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