Associate Financial Advisor

D.A. Davidson Companies; Colorado Springs (CO); On-site; USD 65,000 - 80,000; Full time

Job summary

D.A. Davidson Companies is seeking an Associate Financial Advisor to bolster the Financial Professional's team through proactive client engagement, portfolio analysis, and targeted business development within an existing book of business.

The role requires independent client needs assessment, re-profiling relationships, and delivering tailored investment recommendations aligned with goals and risk profiles, while maintaining compliance and service excellence.

Qualifications

• Bachelor’s degree in finance, accounting, economics, or equivalent experience; advanced credentials (MBA, CFP, CFA) preferred.
• Required FINRA licenses: Series 7 and Series 63/65 or Series 66, as applicable
• Strong knowledge of investment products, portfolio analysis, and the securities industry, including regulatory requirements
• Demonstrated ability to analyze client portfolios and recommend appropriate investment strategies
• Strong analytical, quantitative, and technology skills, including proficiency with Microsoft Office applications
• Proven interpersonal and communication skills, with the ability to build relationships, collaborate within a team, and mentor others as needed
• Highly organized, results-oriented professional capable of managing multiple priorities in a deadline-driven environment while maintaining confidentiality and compliance standards

Responsibilities

• Serve as the primary relationship contact for a subset of clients to enhance client experience and expand advisor capacity
• Engage clients and prospects, frame discussions, and communicate the team's mission to support business development
• Prospect within the existing book of business and support new client acquisition in alignment with team strategies
• Conduct in-depth client interviews to assess objectives, risk tolerance, and financial circumstances; proactively reprofile clients
• Open new accounts, gather assets, and support practice growth through referrals and asset aggregation
• Analyze client portfolios and recommend suitable investment strategies using independent judgment and sound research
• Participate in client onboarding, annual reviews, and ongoing client meetings independently or with team members
• Maintain knowledge of all product and service offerings including managed accounts, retirement accounts, annuities, and trust services
• Ensure compliance with firm policies and regulatory requirements; identify and elevate issues as appropriate
• Monitor client accounts and transactions, addressing suitability issues and initiating appropriate actions
• Complete required paperwork, process transactions, prepare correspondence, and resolve account issues

Skills

Portfolio analysis

Investment products knowledge

Communication skills

Relationship management

Attention to detail

Education

Finance/economics degree

MBA/CFP/CFA preferred

Tools

Microsoft Office

Job description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Summary/Function:

The Associate Financial Advisor serves as a key contributor to the Financial Professional's team, supporting practice growth through proactive client engagement, portfolio analysis, and targeted business development within the existing book of business. This role is responsible for independently assessing client needs, re profiling relationships, and delivering tailored investment recommendations aligned with clients’ goals and risk profiles. By exercising sound judgment and investment expertise, the Associate Financial Advisor enhances client satisfaction, expands advisor capacity, and helps drive sustainable growth through effective relationship management and high quality advisory support.

Qualifications:

• Bachelor’s degree in finance, accounting, economics, or equivalent experience; advanced credentials (MBA, CFP, CFA) preferred
• Required FINRA licenses: Series 7 and Series 63/65 or Series 66, as applicable
• Strong knowledge of investment products, portfolio analysis, and the securities industry, including regulatory requirements
• Demonstrated ability to exercise independent judgment in analyzing client portfolios and recommending appropriate investment strategies
• Strong analytical, quantitative, and technology skills, including proficiency with Microsoft Office applications
• Proven interpersonal and communication skills, with the ability to build relationships, collaborate within a team, and mentor others as needed
• Highly organized, results-oriented professional capable of managing multiple priorities in a deadline-driven environment while maintaining confidentiality and compliance standards

Duties:

• Serve as the primary relationship contact for a subset of clients to enhance client experience and expand advisor capacity
• Engage clients and prospects, frame discussions, and communicate the team’s mission to support business development
• Prospect within the existing book of business and support new client acquisition in alignment with team strategies
• Conduct in depth client interviews to assess objectives, risk tolerance, and financial circumstances; proactively reprofile clients
• Open new accounts, gather assets, and support practice growth through referrals and asset aggregation
• Analyze client portfolios and recommend suitable investment strategies using independent judgment and sound research
• Participate in client onboarding, annual reviews, and ongoing client meetings independently or with team members
• Maintain strong knowledge of all product and service offerings, including managed accounts, retirement accounts, annuities, and trust services
• Ensure compliance with firm policies and regulatory requirements; identify and elevate issues as appropriate
• Monitor client accounts and transactions, addressing suitability issues and initiating appropriate actions
• Complete required paperwork, process transactions (including unsolicited orders), prepare correspondence, and resolve account issues
• Perform additional duties and special projects as assigned

The potential base pay hiring range for this role is $65,000 - 80,000 annually along with eligibility for bonus compensation. This role is eligible to participate in applicable D.A. Davidson variable compensation programs. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson's California Resident Privacy Policy.