Registered Client Associate

D.A. Davidson; Seattle (WA); On-site; USD 62,400 - 74,880; Full time

Benefits offered by this job

Medical, dental, and vision coverage

Company 401(k) and ESOP contribution

Generous sick, vacation, and maternity

Paid holidays

Professional development opportunities

Tuition reimbursement ($15,000 cap)

Discounted personal insurance

Job summary

D.A. Davidson Companies in Seattle seeks a detail-oriented Client Associate to support financial advisors, ensure client satisfaction, and protect confidentiality of sensitive information.

You will review accounts, assist with financial plans, process trades, and handle administrative duties while adhering to firm policies and regulatory requirements.

Qualifications

• SIE and Series 7 licensing and Series 66/63/65 or ability to obtain licensing.
• Knowledge of stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products.
• Experience as a Registered Client Associate preferred.
• Post-secondary education preferred.
• Strong tech skills: Word, Excel, Outlook; familiarity with Thomson ONE, Envestnet, CRM, Money Guide Pro.
• Excellent written and verbal communication, problem-solving, and client-service skills.
• Strong attention to detail and accuracy, including semi-advanced math.
• Ability to manage multiple demands in a deadline-oriented environment.
• Regular attendance and ability to work overtime.

Responsibilities

• Provide exceptionally professional and courteous customer service supporting client satisfaction.
• Adhere 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 issue checks upon request.
• Enter orders for buying/selling 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.

Skills

Attention to detail

Client service

Communication skills

Problem-solving

Math skills

Time management

Overtime readiness

Education

Post-secondary education preferred

Tools

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, delivering outstanding service to our clients, and encouraging a friendly, open culture.

Summary / Function

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 Securities Industry Essentials (SIE) and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 or Series 63/65) or ability to obtain licensing.
• Significant knowledge of securities industry 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 preferred.
• Solid technology skills (Microsoft Word, Excel, Outlook); experience with Thomson ONE, Envestnet, CRM, Money Guide Pro is preferred.
• Excellent written and verbal communication, problem‑solving, and client‑service skills.
• Strong attention to detail and accuracy, including 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.
• Adhere 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 issue checks upon request.
• Enter orders for buying/selling 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 ($30.00‑$36.00 per hour).
• 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 tradition.

The potential base pay hiring range for this role is $30.00 to $36.00 per hour. Compensation will be determined on a case‑by‑case basis considering a variety of factors including skills, relevant work experience, and geographic location.

Equal Opportunity Employment

We are an equal opportunity employer and value diversity. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, 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, and to perform essential job functions.