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Registered Client Associate

On-site Full-time

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Experience Level

Experience

Qualifications

Essential Qualifications:• Completion of the Securities Industry Essentials (SIE) and FINRA General Securities Representative (Series 7) Exam, along with the Uniform Securities State Law Exam (Series 66 or Series 63/65), or the willingness to obtain these licenses is mandatory.• In-depth knowledge of the securities industry, including operations and products such as stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products.• Minimum of two years of experience in a Registered Client Associate role.• Preferred post-secondary education.• Proficient in technology, including Microsoft Word, Excel, and Outlook. Familiarity with Thomson ONE, Envestnet, CRM, and Money Guide Pro is advantageous.• Superior communication skills, both written and verbal, along with strong problem-solving abilities and client service orientation.• Keen attention to detail and accuracy, with the ability to perform semi-advanced mathematical calculations.• Demonstrated ability to manage multiple priorities and deadlines effectively.• Consistent attendance and availability for overtime as required.

About the job

D. A. Davidson Companies, a distinguished independent firm with a legacy of 90 years, is committed to upholding the highest standards of integrity and ethics while providing exceptional service to our clients and colleagues. We foster a welcoming and supportive culture that encourages open communication and collaborative engagement, contributing to the growth of our firm and the well-being of our clients. As part of our mission to enhance financial prosperity, we prioritize community support and giving back, which are fundamental to our corporate values. Explore more about our company culture and community impact in our latest annual report.

Position Overview
We are looking for a talented individual to join our high-performing team at the Wilmington, NC office. This pivotal role demands exceptional attention to detail, the capacity to juggle multiple tasks, stellar client service abilities, and a commitment to maintaining confidentiality regarding client and company information.

About D.A. Davidson Companies

D. A. Davidson Companies is a respected independent firm with a rich heritage of 90 years, dedicated to ethical business practices and exceptional client service. We pride ourselves on our supportive culture and commitment to community engagement, making a positive impact on the financial well-being of our clients and the communities we serve.

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