Client Associate or Registered Client Associate

D.A. Davidson Companies; Newport Beach (CA); On-site; USD 36,000 - 44,000; Full time

Benefits offered by this job

Medical benefits

401(k)/ESOP

Paid holidays

Tuition reimbursement

Professional development opportunities

Charitable gift-matching

D.A. Davidson Day of Giving

Job summary

D.A. Davidson Companies is seeking an attentive, client-focused team member for our Newport Beach, CA office. The role requires licensing readiness (SIE, Series 7, and Series 66/63/65) or ability to obtain, and deep knowledge of stocks, bonds, funds, annuities, and insurance.

You will support an FA with financial plans, client communications, and regulatory adherence. Strong technology and communication skills are essential, along with the ability to juggle multiple tasks in a deadline-driven

Qualifications

• Must hold SIE and FINRA Series 7 exam and Series 66 or 63/65 or ability to obtain licensing
• Significant knowledge of the securities industry and products (stocks, bonds, mutual funds, annuities, insurance)
• High school diploma required; post-secondary education or relevant experience preferred
• Solid technology skills with Word, Excel and Outlook; experience with listed platforms preferred
• Excellent written and verbal communication, problem solving and client service abilities
• Strong attention to detail and accuracy; comfortable with semi-advanced math
• Ability to manage multiple priorities in a deadline-driven environment
• A regular, predictable attendance record and overtime flexibility

Responsibilities

• Provide professional, courteous client service and clearly articulate regulatory requirements
• Adhere to Branch, Firm and Compliance policies and procedures
• Review and process client documents; inform FA of important client activities
• Assist Financial Advisor with comprehensive financial plans for clients
• Prepare periodic client mailings, communications and events with the FA
• Facilitate transfers of funds and securities and issue checks upon request
• Enter orders for stocks, bonds, options, margin, and mutual funds
• Provide general administrative support to the FA and Branch Manager
• Handle other duties as assigned

Skills

Attention to detail

Client service

Communication skills

Time management

Problem solving

Education

High school diploma

Post-secondary education preferred

Tools

Microsoft Word

Microsoft Excel

Microsoft Outlook

Thomson ONE

Envestnet

CRM

Money Guide Pro

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

We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Newport Beach, CA office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.

Primary Qualifications

• Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required
• Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products
• High school graduate. Post-secondary education, or comparable work experience preferred
• Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred
• Excellent communication (written and verbal), problem solving and client service skills
• Strong attention to detail and accuracy including the ability to perform semi-advanced math
• Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment
• Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment
• Ability to maintain regular, predictable attendance and to work overtime as needed

Primary Duties

• Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment
• Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations
• Review, maintain and process account documents and information - Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity
• Assist FA with comprehensive financial plans for current and prospective clients
• Assist FA in developing and implementing periodic client mailings, communications and events
• Facilitate the transfer of client funds and/or securities and the issuance of checks upon request
• Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds
• Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager
• Other projects and duties as assigned!

What we offer

• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work

The potential base pay hiring range for this role is $26.00 to $32.00 per hour. 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.

D.A. Davidson has been in business for 90 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!

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.