Securities Client Support 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 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