Senior Registered Associate at D.A. Davidson

Bellevue, Washington, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, SecuritiesIndustries

Requirements

Successful completion of the FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 63) or Uniform Combined State Law Exam (Series 66) whichever is applicable
Recommended minimum five years or more relevant experience as a Registered Associate
Seasoned knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple, Roth) mutual funds, annuities, estate procedures, Rule 144 or restricted securities and cashless stock options
Familiar with general Company business policies and procedures, as well as back-office operations and securities industry requirements
High School diploma, GED or comparable work experience. Post-Secondary education preferred. Comparable work experience as a Registered Associate or FA
Proficient computer skills (strong knowledge of Microsoft Word, Excel and Outlook)
Basic knowledge of taxes and implications
Solid mathematical aptitude
Strong organizational and problem solving skills
Strict attention to detail
Ability to work independently – a self-starter
Ability to manage multiple demands and competing priorities in a deadline-oriented environment
Ability to work in a computerized environment
Ability to work overtime if needed
Follow policies and procedures. Maintain client confidentiality
Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information
Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives
Ability to maintain regular, predictable attendance

Responsibilities

Provide professional, courteous customer service to ensure client satisfaction. In some situations, enter solicited trades and contact clients and solicit business on behalf of the FA
Call current and potential clients with investment ideas and product availability to generate sales and promote goodwill at the direction of the FA
Research complex problems in client accounts at the request of the client or FA. Follow through until resolved. Notify the FA and/or client of resolution
Achieve and maintain a solid understanding of all product categories to include managed accounts, complicated retirement accounts and annuities
Review and maintain all account documentation and information
Facilitate the transfer of client funds and/or securities and the issuance of checks upon request
Inform FA of all important information and activities related to client accounts and transactions

Skills

Series 7

Series 63

Series 66

Stocks

Bonds

Margin Accounts

Options

IRAs

Mutual Funds

Annuities

Estate Procedures

Rule 144

Restricted Securities

Cashless Stock Options

Back-Office Operations

FINRA Compliance

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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