Associate Financial Advisor - Growth & Client Impact

D.A. Davidson; 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 support a Financial Professional’s team by engaging clients, analyzing portfolios, and developing new business within an existing book of business.

The role requires the ability to assess client needs, reprofile relationships, and deliver tailored investment recommendations aligned with goals and risk profiles to drive growth and client satisfaction.

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.

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 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 escalate 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.
• Perform additional duties and special projects as assigned.

Skills

Client engagement

Portfolio analysis

Relationship building

Communication skills

Independent judgment

Education

Bachelor’s degree in finance/ economics/ accounting

MBA/ CFP/ CFA preferred

Tools

Microsoft Office

Job description

D.A. Davidson Companies is seeking an Associate Financial Advisor to support a Financial Professional’s team by engaging clients, analyzing portfolios, and developing new business within an existing book of business.

The role requires the ability to assess client needs, reprofile relationships, and deliver tailored investment recommendations aligned with goals and risk profiles to drive growth and client satisfaction.