Broker-Dealer and RIA
Equity Services, Inc.
is Your Partner.
Your business. Your vision.
Equity Services, Inc. is a member of a strong, stable, diversified group of companies.
The cornerstone of our foundation is National Life Group.
As the broker-dealer and RIA affiliate of a mutual life insurance company, we have a unique view of the business, and an understanding of how investments and fixed financial solutions work together. We also understand the importance of flexibility and providing multiple affiliation options.
1848
National Life Insurance
Company Founded
1968
Equity Services, Inc.
Broker-Dealer Forms
1992
Equity Services, Inc. Financial
Advisors Established
2022
National Life Group of
Companies $40B+ in Assets1
By the Numbers as of January 2024
530
Registered
Reps
Reps
9
Registered Reps Average
Years Tenure with ESI
Years Tenure with ESI
13
Assets Under
Management
Management
9
Average Years Tenure
Home Office Team
Home Office Team
40
National Life Group
Assets1
Assets1
THE
Relationship-Based Firm
Advisor-Client relationships are the foundation of this industry, and Equity Services, Inc. believes that building strong relationships with our Reps is just as important. We focus on providing an advisor experience that is personal and exceptional.
Advisor-Focused
At ESI, your voice matters. We work with you and welcome your input and feedback, whether you engage through our ESI Field Advisory Committee or by direct outreach to our leadership team. If you have an idea, we’ll have a discussion.
Our Operations team is focused on both efficiency and knowledge so that when you call, we’ll have answers. Our Compliance team believes in collaboration, listening intently, and working together to find solutions. Our solutions-driven Business Development team brings you sales and marketing resources to build the business you envision.
Unparalleled Service
We constantly strive to give our reps the gift of time — whether it’s driving software integration or the in-depth knowledge of our associates, our reps spend their time where it matters most — with their clients.
”We are THE relationship-based firm. We deeply care about the success of our Advisors and Registered Reps. Their success is our success.
Ata AzarshahiPresident & CEO
Comprehensive Product Offerings
Fee-Based Solutions
- Open architecture proprietary advisory platform, powered by Envestnet
- Financial Planning
- Direct access to platforms such as SEI and AssetMark as well as boutique managers
Commission-Based Solutions
- Stocks & Bonds
- Mutual Funds
- Variable Annuities
- Alternative Investments
ESI Illuminations Proprietary Advisory Platform
Our open architecture advisory platform, powered by Envestnet, provides a wide range of managers and over 400 portfolio options.
- Broad selection of third-party asset managers
- Representative as portfolio manager options
- Single Strategist as well as Unified Managed Account options
- Investment minimums starting at $10,000
- Separately Managed Account options
- 30+ managers
- 400+ portfolios
Your Business Development Partners
You have a vision for your business, and we have the resources to help you realize that vision.
Sales & Marketing
We have the resources to help you grow and evolve, including:
- Branding and marketing partners2 to provide websites, email campaigns, and content to keep your marketing and communications fresh
- Social media platform that simplifies both compliance and content curation – approved platforms include LinkedIn, Facebook, Instagram, YouTube, and Twitter
- Prospecting and communication campaigns to attract new clients and keep your network engaged
Training & Education
Our training and education program encompasses a range of options, including:
- Live and recorded webinars via video or audio
- In-person Business Development Conference
- Quick reference materials
- Technology and operational training
- Facilitated peer discussions
- Strategic partner-sponsored events
Practice Management
ESI is committed to serving those continually evolving needs with programs that include:
Teaming
An increasing number of Reps are embracing a Team Model to address comprehensive client needs. ESI’s Teaming program offers a structured approach to teaming, providing compensation, reporting, and incentive opportunities.
Succession Planning
Our Succession Planning program provides individual and team consultation for anticipated succession as well as unplanned succession events.
Technology3
Prospecting & Marketing
Stay competitive in a changing – and digital – marketing environment.
Financial Planning Tools
Easily create a professional plan using approved resources that include eMoney, MoneyGuide Pro, and Nitrogen.
Leading Client Relationship
Management (CRM) Software
Our approved CRM vendors help ensure that client data is consistent across all your technology.
Research Tools
Our research resources include Wealthscape® and discounted access to Morningstar Advisor Workstation.
Trading & Account Servicing
Wealthscape’s robust brokerage workstation integrates trading and service functionality with risk management tools.
Electronic Business Processing Platform
Docupace provides a flexible, paperless process that includes time-saving features ranging from autogenerated forms kits to eSignature.4
Data Aggregation and Reporting
Download, consolidate, update, and reconcile client data automatically.
Incentives & Recognition
We know how hard you work to build your business, and we’re proud to celebrate your success with you!
ESI Elite Symposium5
The ESI Elite Symposium is our annual incentive conference providing qualifying advisors with the opportunity to hear from world class speakers, share ideas and network with peers. Each year offers an exceptional destination and an unforgettable experience that will help you continue to build your business and stay inspired!
Rep Referral Bonuses
We know that our best new Reps are referred by established Reps. In recognition of this, we offer a referral bonus.
ESI Illuminations Business
Development Credit Program
Advisors doing business on ESI Illuminations, our advisory platform featuring 30+ third party money managers and over 400 portfolios, can earn additional compensation based on reaching requisite thresholds.
ESI Circle of Excellence6
Our annual Top 25 Reps in GDC (gross dealer concessions) enjoy membership in our Circle of Excellence which includes features such as waiver of some annual fees.
“The transition team did a great job in supporting us during the transition process. We had a huge task to transfer over 1,000 accounts and expected to buckle-up for a long haul. We were delighted to get a dedicated ESI team, and they processed the bulk of our clients in the first 90 days.”
Tyler DegeneffeESI Advisor Degeneffe Financial, Wisconsin
Customized Transition Services
ESI’s Partner Experience Group is dedicated to guiding you through the transition and onboarding process efficiently and smoothly so you can concentrate on the most important aspect of your business: your clients.
Dedicated transition resources through the Partner Experience Group
Customized process designed to accommodate YOUR timeline
Digital transition resources available
1. Based on the consolidated results as of and for the year ended December 31, 2023, stated on the basis of U.S. Generally Accepted Accounting Principles (GAAP) of NLV Financial Corporation (NLVF) and its subsidiaries and affiliates, including National Life Insurance Company (NLIC) and Life Insurance Company of the Southwest (LSW). NLVF and its subsidiaries and affiliates operate as a unified organization under the trade name of National Life Group (NLG). Total assets exclude bond unrealized gains and losses. The measurement of core earnings only exists on a consolidated GAAP basis. Statutory basis financial figures as of December 31, 2023: NLG consolidated admitted assets were $46.5B and liabilities were $43.2B. NLIC admitted assets were $11.8B and liabilities were $8.7B.]
2. Offered through third party vendors at an additional cost. Third party entities are independent of Equity Services, Inc. unless otherwise stated.
3. Some technology solutions are offered through a third party vendor at an additional cost. Thurs party entities are independent of Equity Services, Inc. unless otherwise stated.
4. Dependent upon eSignature availability through the vendor.
5. Credits may be adjusted if needed to comply with the Massachusetts Fiduciary Rule.
6. Incentive programs are based on various levels of production, years of practice and licensing. Not all packages are available to all representatives.
For Recruitment Purposes Only – Not for Use with the Public
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.
TC141705(0524)1 | Cat No 104186(0524)