Client Services & Financial Plans Associate

D.A. Davidson’s Special District Group; Newport Beach (CA); On-site; USD 36,000 - 44,000; Full time

Benefits offered by this job

Medical, Dental and Vision

401(k) and ESOP

Sick, vacation, and parental leave

Paid holidays

Tuition Reimbursement

Discounted insurance

Charitable gift-matching

Davidson Day of Giving

Job summary

D.A. Davidson Companies in Newport Beach, CA seeks an exceptional individual to join our high-producing team. The role requires licensing readiness, strong client service, and meticulous attention to detail in handling accounts and regulatory duties.

The position supports Financial Advisors with financial plans, client communications and event activities while ensuring adherence to branch and firm policies. Strong multitasking is essential.

Qualifications

• Licensing in SIE and Series 7 is required or the ability to obtain licensing.
• Knowledge of securities products including stocks, bonds, funds, annuities and insurance.
• Strong written and verbal communication and client service skills.
• Mature integrity, confidentiality and attention to detail.
• Ability to manage multiple demands in a deadline-driven environment.

Responsibilities

• Provide professional client service and support regulatory requirements.
• Adhere to branch, firm and compliance policies and procedures.
• Review and process account documents and communicate activity to the FA.
• Assist with comprehensive financial plans for clients.
• Assist in client communications and event planning.
• Assist with transfers of funds/securities and check issuance.
• Enter stock, bond, options and mutual fund orders.
• Provide administrative support to FA and Branch Manager.

Skills

SIE licensing

Series 7

Series 66/63/65

Excellent communication

Problem solving

Client service

Attention to detail

Multi-tasking

Education

High school diploma or equivalent

Post-secondary education preferred

Tools

Thomson ONE

Envestnet

CRM

Money Guide Pro

Microsoft Word

Excel

Outlook

Job description

D.A. Davidson Companies in Newport Beach, CA seeks an exceptional individual to join our high-producing team. The role requires licensing readiness, strong client service, and meticulous attention to detail in handling accounts and regulatory duties.

The position supports Financial Advisors with financial plans, client communications and event activities while ensuring adherence to branch and firm policies. Strong multitasking is essential.