Registered Client Associate

Dadavidson; Seattle (WA); On-site; USD 41,328 - 49,593; Full time

Benefits offered by this job

Medical, Dental and Vision coverage

Company 401(k) and ESOP contribution

Paid holidays

Job summary

D.A. Davidson in Seattle, WA is seeking a capable Client Associate to join our high performing team.

This role requires meticulous attention to detail, the ability to juggle multiple requests, and strong client service skills in a confidential environment. You will support financial advisors by handling account documents, processing transfers, and preparing comprehensive financial plans, while adhering to regulatory policies.

Qualifications

• Requires SIE, Series 7, and Series 66/63/65 licensing or ability to obtain licensing.
• Significant knowledge of the securities industry, its operations and products.
• Previous experience as a Registered Client Associate is preferred.
• Post-secondary education is preferred.

Responsibilities

• Provide professional and courteous customer service supporting client satisfaction, including regulatory communication.
• Adhere to Branch, Firm and Compliance policies and regulations.
• Review and process account documents; inform advisors of meaningful activities.
• Assist advisors with comprehensive financial plans for clients.
• Assist in developing periodic client mailings, communications and events.
• Facilitate transfer of client funds and securities and issue checks on request.
• Enter buy/sell orders for stocks, bonds, options, margin trades and mutual funds.
• Provide administrative support and other projects as assigned.

Skills

Attention to detail

Client service

Communication skills

Multi-tasking

Regulatory environment understanding

Education

Post-secondary education preferred

Tools

Thomson ONE

Envestnet

CRM

Money Guide Pro

Job description

Summary/Function

We are currently seeking an exceptional individual to join a dynamic and high‑producing team in our Seattle, WA 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, financial advisor, 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) is required, or the ability to obtain licensing.
• Significant knowledge of the securities industry, its operations and products, including stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products.
• Some previous experience as a Registered Client Associate is preferred.
• Post‑secondary education is preferred.
• Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro is 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.
• 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.
• Adhere to all Branch, Firm and Compliance policies, procedures, rules and regulations.
• Review, maintain and process account documents and information; inform financial advisors of meaningful information and activities related to client accounts and transactions, including suspicious activity.
• Assist financial advisors with comprehensive financial plans for current and prospective clients.
• Assist financial advisors 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 financial advisor and/or Branch Manager.
• Other projects and duties as assigned.

What we offer

• Medical, Dental and Vision coverage
• 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 $30.00 to $36.00 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.

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.

California applicants, please see D.A. Davidson’s California Resident Privacy Policy.