Registered Client Associate at D.A. Davidson

Franklin, Tennessee, United States

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Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, SecuritiesIndustries

Requirements

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]) 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
At least two years previous experience as a Registered Client Associate
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 exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment
Adherence 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 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 FA and/or Branch Manager
Other projects and duties as assigned

Skills

SIE

Series 7

Series 66

Series 63

Series 65

Microsoft Word

Microsoft Excel

Microsoft Outlook

Thomson ONE

Envestnet

CRM

Money Guide Pro

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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