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, Dental and Vision

Company 401(k) and ESOP contribution

Paid holidays

Tuition Reimbursement ($15,000 limit)

Charitable gift-matching program

Job summary

D.A. Davidson Companies, Newport Beach, CA, is seeking an exceptional individual to join a high-producing team. This role requires outstanding attention to detail, client service excellence, and strict integrity with confidential information.

Typical duties include supporting financial advisors, processing accounts, and executing trades while adhering to firm and regulatory policies. The position emphasizes staff collaboration, professional development, and a commitment to community impact.

Qualifications

• Successful completion of SIE and Series 7 and Series 66 (or 63/65) or the ability to obtain licensing.
• Significant knowledge of the securities industry and products.
• Strong communication and client service skills.
• Ability to balance multiple requests in a deadline-oriented environment.

Responsibilities

• Provide professional customer service supporting client satisfaction and regulatory communications.
• Adhere to Branch, Firm and Compliance policies and procedures.
• Review and process account documents; inform FA of activities.
• Assist FA with comprehensive financial plans for clients.
• Assist FA with client mailings, communications and events.
• Enter orders for trades and transfers; support admin tasks.
• Other projects and duties as assigned.

Skills

SIE Certification

Series 7

Series 66/63/65

Securities industry knowledge

MS Word, Excel, Outlook

Client communication

Attention to detail

Multitasking

Overtime flexibility

Education

High school graduate

Post-secondary education preferred

Tools

Thomson ONE

Envestnet

CRM

MoneyGuide 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:

Competitive salary plus excellent benefits and perks including, but not limited to:

• 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‑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!

$26 - $32 an hour

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.