Disclosures
Regulatory Information
- ESI Privacy Policy
- Client Relationship Summary
- Brokerage Agreement (Client Brokerage Transaction and Service Fee Schedule)
- Client Transaction and Service Fee Schedule for Managed Programs
- Important Information about Revenue Sharing Agreements
- Business Continuity Statement
- Important Account Info
- Form ADV Part 2A (48596)
- Form ADV Part 2A App 1 - Appendix 1: ESI Compass (53945)
- Form ADV Part 2A - Appendix 1 (Illuminations)
- Form ADV Part 2A - Appendix 1 (ESI Directions)
- ERISA Revenue Sharing Disclosure
- Regulation BI Disclosure
SEC-Required Report on Routing of Customer Orders
Equity Services, Inc., (“ESI”) is a fully disclosed introducing broker-dealer and clears securities transactions through National Financial Services, LLC (“NFS”). As of July 1, 2024 and going forward, quarterly postings of the SEC-required Report on Routing of Customer Orders can be located directly on NFS’s website by clicking on this link: NFS Rule 606 Reports. ESI adopts these NFS 606 reports by reference.
(For links identified as xml version: to view correctly, please right click on the link, choose "save link as...", save it to your computer, then go to the path and open it with Excel)
- 2020 - First Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2020 - First Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2020 - Second Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2020 - Second Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2020 - Third Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2020 - Third Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2020 - Fourth Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2020 - Fourth Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2021 - First Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2021 - First Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2021 - Second Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2021 - Second Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2021 - Third Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2021 - Third Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2021 - Fourth Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2021 - Fourth Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2022 - First Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2022 - First Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2022 - Second Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2022 - Second Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2022 - Third Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2022 - Third Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2022 - Fourth Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2022 - Fourth Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2023 - First Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2023 - First Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2023 - Second Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2023 - Second Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2023 - Third Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2023 - Third Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2023 - Fourth Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2023 - Fourth Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab - 2024 - First Quarter - Consolidated Quarterly Data - PDF Opens in New Tab
2024 - First Quarter - Consolidated Quarterly Data - XML Version Opens in New Tab - 2024 - Second Quarter- Consolidated Quarterly Data - PDF Opens in New Tab
2024 - Second Quarter- Consolidated Quarterly Data - XML Version Opens in New Tab