Wealth: Registered Client Service Associate

B. Riley Securities, Inc; Tampa (FL); On-site; USD 50,000 - 70,000; Full time

Job summary

B. Riley Wealth, a leading financial services platform, is seeking a dedicated Registered Client Service Associate for their Tampa office. The role involves providing sales support, managing client interactions, and ensuring efficient communication within teams. Candidates should possess relevant financial certifications and experience, along with strong organizational and communication skills.

Benefits

401(k) profit-sharing plan

Paid holidays, vacation, sick leave

Medical, dental, and vision insurance

Company-paid life and disability insurance

Qualifications

• Bachelor's degree in Finance or equivalent experience preferred.
• Securities Industry Essentials (SIE), Series 7, and Series 63 or 66 certifications required.
• Minimum of two years of brokerage industry experience.

Responsibilities

• Act as liaison between Financial Advisors and internal departments.
• Handle client money transfers, check requests, and related communications.
• Assist Financial Advisors with new account applications and document collection.

Skills

Communication

Organization

Prioritization

Education

Bachelor's degree in Finance or equivalent experience

Tools

MS Word

Excel

PowerPoint

Job description

Wealth: Registered Client Service Associate

Location: Tampa, FL, USA

Job Description

Posted Monday, June 2, 2025 at 5:00 AM

B. Riley Wealth is a leading private wealth and investment management platform with coast-to-coast offices, offering comprehensive financial solutions to individuals, families, businesses, non-profits, trusts, foundations, and endowments. Our services include securities and variable insurance products through B. Riley Wealth Management, fee-based asset management and advisory services via B. Riley Wealth Advisors, insurance products (including fixed annuities) through B. Riley Wealth Insurance Corporation, and tax and accounting services through B. Riley Wealth Tax Services. For more information, visit www.brileywealth.com.

B. Riley Wealth is a subsidiary of B. Riley Financial (Nasdaq: RILY), a diversified business advisory and financial services platform.

We are seeking a full-time Registered Client Service Associate with at least 2 years of industry experience to join our Tampa, FL office.

The ideal candidate will be capable of working independently, organizing, prioritizing, and completing tasks efficiently. Responsibilities include providing administrative and sales support to BRWM Financial Advisors, managing correspondence, and communicating with clients to provide routine securities information and execute trades as directed.

Key Responsibilities:

• Act as liaison between Financial Advisors and internal departments such as Compliance, Operations, and Administration.
• Handle client money transfers, check requests, and related communications.
• Assist Financial Advisors with new account applications, document collection, inquiry resolution, and account transfers.
• Research and resolve issues like late payments, overdrafts, and pending inquiries, and communicate resolutions.
• Prepare correspondence using Word, Excel, and other software.
• Interact professionally with Financial Advisors, clients, and internal teams.
• Manage incoming calls, requests, and direct communications appropriately.
• Provide clients with securities information and execute trades as instructed.
• Perform additional duties as assigned.

Qualifications:

• Bachelor's degree in Finance or equivalent experience preferred.
• Securities Industry Essentials (SIE), Series 7, and Series 63 or 66 certifications required.
• Minimum of two years of brokerage industry experience.
• Proficiency in MS Word, Excel, and PowerPoint.
• Excellent verbal and written communication skills.

Employees at B. Riley Financial enjoy competitive salaries, a 401(k) profit-sharing plan, paid holidays, vacation, sick leave, medical, dental, and vision insurance, and company-paid life and disability insurance.