Helping You Grow Your Business, Your Way

You have a vision for your business, but do you have a path to get there? Whether you are looking for a team to join or want to build your own, Equity Services, Inc. (ESI) can help you turn your vision into a reality.

You bring the vision; we’ll bring the path.

Take the First Step

As a member of National Life Group (NLG), ESI is part of a forward-thinking company. We know that it’s not just about products; it’s about having the flexibility to build your vision, innovation that is focused on your needs, and service that makes it easier to do business. That’s why we offer multiple affiliation options and a range of resources. Read on for an overview of the resources, innovation and experience we bring to the table, and let us help you find the right path to realize your vision.

the FLEXIBILITY you need

Our representatives reflect a wide range of affiliations, from a commission-based model to affiliation with our Registered Investment Advisor (RIA) only.

Fee-Based Options

Commission-Based Options

If you’re looking for support for your fee-based advisory business, ESI can provide the RIA services you need.

Flexible Business Options
Our RIA only affiliation option provides the advisory tools that you need without requiring a broker-dealer affiliation. Whether it’s an asset-based fee, a financial planning fee, or hourly consultations, you have the tools, agreements, and process to support you.

A Full Range of Choice - One Simple Process
ESI Illuminations, our fee-based advisory service program, is structured to be competitive and adaptable, providing sophisticated technology and a wide range of capability.

Our open architecture platform includes:

Broad Selection of 3rd Party Asset Managers with 290+ prebuilt portfolios
Funded with mutual funds, ETFs, or separately managed accounts
Strategic, tactical and dynamic investment approaches
Uniform platform costs
Unified managed accounts
Representative as Portfolio Manager Options

Innovative Technology
Our technology platform provides a paperless business process with options that include electronic signature, validation and integration with other key technology.

Fee-Based Options

Commission-Based Options

ESI is a full-service Broker-Dealer offering the full range of solutions, selling agreements, and support you should expect from your Broker-Dealer.

Stocks & Bonds
Access thousands of publicly traded stocks and bonds, all available through ESI’s clearing arrangement affiliation with NFS.

Mutual Funds¹
ESI maintains selling agreements with an extensive line of fund families and provides access to a wide range of funds, some free of transaction costs.

Variable Annuities¹
ESI maintains selling agreements and corporate appointments with many major insurance companies who issue variable and indexed annuities as well as life contracts.

Alternative Investments²
Affluent clients have sophisticated needs. ESI will periodically partner with alternative investment managers to offer registered real estate, equipment & leasing, oil and gas, and structured products

the INNOVATION you expect

The best part of our Technology Platform? It communicates.

Because we know that technology is only effective if it makes you more efficient, we are as focused on the integration of data and software as we are on the actual technology. What does that mean for you? It means less duplication of effort and more time building your business.

ESI Technology Platform

ESI Illuminations Advisory Platform – Powered by Envestnet

Does your technology make you more efficient?

No matter what path you choose, technology plays a role throughout the entire process for today’s financial professional, from prospecting to plan implementation and ongoing service.

Our suite of technology options³ includes:

Prospecting and Marketing Tools help you stay competitive in a changing – and digital – marketing environment

Financial Planning Tools to help you easily create a professional plan, no matter how simple or complex the need

Leading Client Relationship Management Tools that integrate with much of our technology platform, ensuring that client data is consistent across all your technology

Research tools including Wealthscape^® and discounted access to Morningstar Advisor Workstation

Trading & Account Servicing using Wealthscape’s robust brokerage workstation that integrates trading and service functionality with customer information and risk management tools

An Electronic Business Processing Platform that provides a flexible, paperless process from start to finish with features ranging from auto-generated forms kits to eSignature⁴

Data Aggregation and Reporting through Investigo^®, a powerful data aggregation tool that downloads, consolidates, updates, and reconciles client data automatically, on a daily basis

ESI Technology Platform

ESI Illuminations Advisory Platform – Powered by Envestnet

ESI Illuminations brings an innovative team approach to managed money.

Equity Services’ fee-based and advisory service program is structured to be competitive and adaptable. Its sophisticated technology and range of capability gives you the infrastructure you need to operate your fee-based management practice.

Our open architecture platform includes:

Representative as portfolio manager options
Model portfolios funded with mutual funds, ETFs, or separately managed accounts
Broad selection of third-party asset managers
Simple transparent platform pricing
Single Strategist as well as Unified Managed Account options

Our proprietary investment platform, ESI Illuminations, brings all of these options together on a platform that includes strategic, tactical and dynamic investment approaches. In addition, ESI Illuminations provides a simple process for communicating with and working with advisory clients.

the SERVICE you demand

Affiliation, Transition and Onboarding

Prospecting & Marketing

Transitioning your business to a new Broker-Dealer doesn’t have to be a painful process. Our Transition Support Team is dedicated to guiding you through the affiliation process efficiently and smoothly so you can concentrate on the most important aspect of your business: your clients.

Our transition and onboarding process includes:

Affiliation requirements and the appointment process
Licensing and registration support
Business and review process
Technology consulting and training
Access to marketing and prospecting resources (varies with affiliation)
Product and advisory platform training and support

Backed by an experienced team from Operations, Licensing, Compliance, and Business Development, we’ll help you not only transition your business but also help you identify opportunities to increase your efficiency and expand your practice.

Affiliation, Transition and Onboarding

Prospecting & Marketing

Finding clients, keeping clients and staying current in a constantly evolving industry is always a challenge. Through our relationship with National Life and other partners, our advisors have access to key marketing and prospecting resources, including:

Customized print and digital materials

Access to a web-based prospecting search engine

Social media program including a content library and pre-approved campaigns

Advanced Market Support

Qualified and non-qualified business
Trust services through Fidelity
Business Planning
National Life’s CPA Advantage program
Charitable Giving
Estate Planning Strategies

our AFFILIATES,
your ADVANTAGE

A cornerstone of our foundation is our affiliation with key partners. National Life Group is comprised of several financial services companies offering direct support to ESI representatives. By joining our team, you have access to resources that can only be found at a diversified financial company.

•	National Life Insurance Company (NLIC): Established in 1848 in Montpelier, VT, National Life specializes in serving the insurance and financial needs of individuals, families and business owners.
•	Local Branch Offices: ESI is proud to be part of the cornerstone distribution system for NLIC. Located throughout the nation, our branches provide the hands-on support and face-to-face interaction that can only come from regional offices.
•	Life Insurance Company of the Southwest (LSW): Established in 1955 and based in Addison, TX, LSW is a leading writer of indexed annuities and 403(b) plans.

Learn more about National Life Group and our commitment to Doing Good

What’s Your Path?

Take The First Step Today

ESI:
Redefining how you do business

This information is presented for recruiting purposes only, and should not be construed as a solicitation of any insurance or investment product.

ESI is a distribution system of National Life Group. National Life Group® is a trade name of National Life Insurance Company (NLIC), Montpelier, VT and its affiliates. Equity Services, Inc. (ESI), Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Advisor affiliate of NLIC. ESI Financial Advisors is a trade name of Equity Services, Inc. All other third-party entities are independent of ESI and its affiliates unless otherwise indicated. To participate in the ESI distribution system, agents must comply with certain requirements and restrictions, including restrictions on product offerings and compensation

Mutual funds and variable products are sold by prospectus. For more complete information, please request a prospectus from your registered representative. Please read it and consider carefully a Fund’s objectives, risks, charges and expenses before you invest or send money. The prospectus contains this and other information about the investment company. Consult the ESI website for more information and specific fund availability.
Direct Participation Programs and other Alternative Investments are generally illiquid, and the estimated value may not be realized when the investor seeks to liquidate the security. These programs are typically offered for a limited period of time.
There is a fee associated with some of these tools and some tools are only available to registered advisors. Note that the full suite of technology options is only available to advisors using our Registered Investment Advisor-affiliated and Commission Solutions.
Some vendors do not yet accept eSignature

For Recruiting Purposes Only – Not For Use With The General Public

TC 105602(0219)3

Cat No 104186(0219)