Esi Financial Advisors
DBA: Equity Services, Inc.
ONE NATIONAL LIFE DRIVE, Montpelier, Vermont 05604
Confirmed via SEC Form ADV registration data. This firm has a legal obligation to act in your best interest.
This firm has disclosed additional revenue sources (insurance, brokerage, or proprietary products) in their SEC filings. Review the details below.
Fee Structure
Detailed Fee Schedule
the stated fee schedule, as long as the actual fee is not above the maximum fee of 2.00%. Clients who close their Saratoga account before the end of a quarter shall be reimbursed for those days remaining in the quarter for which asset management services will not be provided. Schwab Reti
Source: Form ADV Part 2 BrochureDisciplinary Disclosures
This firm has 30 disclosures on record with the SEC.
Regulatory actions; Civil judicial actions
A disclosure does not necessarily indicate wrongdoing. Verify details on SEC Adviser Info or FINRA BrokerCheck.
Compensation Transparency
- Also registered with a broker-dealer
- Also offers proprietary investment products
These additional revenue sources are disclosed in the firm's Form ADV filing with the SEC. Ask the advisor directly how these affiliations affect the advice you receive.