Field Notice 2021-20: Form ADV Part 2A Update
Effective July 1, 2021, ESI Financial Advisors (“EFA” or “the Firm”) updated its Form ADV Part 2A (ES0408) to reflect changes to its policy regarding the payment of financial planning/consulting fees.
The updated version of this form is available on the ESI Illuminations website and through the NLG website, via MerrillConnect. Please destroy and discontinue use of any previous versions of this disclosure document, and only use the current version.
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Field Notice 2021-21: ESI Written Supervisory Procedures Update
ESI continually reviews its Written Supervisory Procedures (“WSP”) in accordance with the regulatory requirements and its business requirements. ESI’s WSP manual has been updated, effective June 30, 2021, to incorporate various changes.
Click here for a summary of changes.
Field Notice 2021-22: EFA Written Supervisory Procedures Update
ESI Financial Advisors (“EFA”) continually reviews its Written Supervisory Procedures (“WSP”) in accordance with the regulatory requirements and its business requirements. ESI’s WSP manual has been updated, effective June 30, 2021, to incorporate various changes.
Click here for a summary of changes.
TC121953(0721)1