Client Associate at D.A. Davidson

Long Beach, California, United States

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Not SpecifiedCompensation

Entry Level & New GradExperience Level

Full TimeJob Type

UnknownVisa

Financial ServicesIndustries

Requirements

Opportunity to complete 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])
Some knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products
High school graduate or comparable work experience. Post-secondary education preferred
Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro 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

Responsibilities

Provide extraordinarily professional and courteous client service managing client requests, account maintenance and effectively articulating certain requirements in a regulatory environment
Review, maintain and process account documents and information as well as solve complex issues and assignments related to client accounts and transactions including suspicious activity
Assist with crafting comprehensive financial plans for current and prospective clients
Assist 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
Seek to innovate and streamline processes
Provide general support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned
Adherence to all branch, firm and compliance policies, procedures, rules and regulations
Other projects and duties as assigned

Skills

Key technologies and capabilities for this role

Microsoft ExcelMicrosoft WordMicrosoft OutlookThomson ONESeries 7Series 66SIE

Questions & Answers

Common questions about this position

What is the work location for this Client Associate position?

The position is based in the Long Beach, CA branch.

What qualifications are required for the Client Associate role?

Requirements include some knowledge of the securities industry and its products, high school graduate or comparable experience (post-secondary preferred), solid technology skills in Microsoft Word, Excel, and Outlook, excellent communication and problem-solving skills, strong attention to detail, and ability to manage multiple priorities.

What is the company culture like at D.A. Davidson?

D.A. Davidson supports a friendly, open, and supportive culture that encourages candid communication, productive engagement, integrity, ethics, outstanding service, and giving back to local communities.

What salary or compensation is offered for this role?

This information is not specified in the job description.

What makes a strong candidate for this Client Associate position?

Strong candidates are exceptionally sharp, motivated, detail-oriented individuals with a passion for creating exceptional client experiences, who enjoy collaborative teamwork, and have knowledge of securities products along with solid tech and communication skills.

D.A. Davidson

Provides wealth management and financial advisory services

About D.A. Davidson

D.A. Davidson & Co. provides personalized wealth management and financial advisory services to individuals, families, and businesses primarily in the United States. The firm offers a variety of services, including investment management, financial planning, and trust services, aimed at helping clients align their portfolios with their financial goals. D.A. Davidson employs a research-based approach to tailor solutions for a diverse client base, which includes individual investors and business owners. Unlike many competitors, D.A. Davidson has a long history dating back to 1935 and has grown through strategic acquisitions and organic growth, establishing a reputation as a trusted name in the financial services industry. The company's goal is to deliver personalized financial solutions that meet the unique needs of each client.

Great Falls, MontanaHeadquarters

2014Year Founded

VENTURE_UNKNOWNCompany Stage

Financial ServicesIndustries

1,001-5,000Employees

Benefits

Health Insurance

Dental Insurance

Vision Insurance

401(k) Company Match

Paid Vacation

Paid Sick Leave

Paid Holidays

Professional Development Budget

Tuition Reimbursement

Employee Discounts

Company Social Events

Risks

Competition in AI-driven financial services could challenge D.A. Davidson's market position.

Rapid AI technology evolution may outpace D.A. Davidson's current capabilities.

Resource diversion to Diversified Industrials may affect overall service quality.

Differentiation

D.A. Davidson offers personalized wealth management and financial advisory services in the U.S.

The firm has a strong focus on small to middle-market companies across various sectors.

D.A. Davidson's research-based approach aligns client portfolios with financial goals.

Upsides

The rise of digital wealth management platforms enhances personalized investment advice delivery.

Growth in middle-market private equity presents opportunities for D.A. Davidson's advisory services.

Increased focus on sustainable finance aligns with D.A. Davidson's advisory offerings.

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