15 Registered Client Associate Jobs in Plano, TX
D.A. Davidson Companies is Hiring a Registered Client Associate Near Plano, TX
Summary/Function
We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Plano, TX office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.
Experience and Skills:
- 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 is required.
- Significant knowledge of the securities industry, its operations and products to include 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.
- 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!
Competitive salary plus excellent benefits and perks including, but not limited to:
- Medical, Dental and Vision
- Company 401(k)and ESOP contribution
- Generous sick, vacation, and maternity/parental leave
- Paid holidays
- Professional Development Opportunities
- Tuition Reimbursement ($15,000 lifetime cap)
- Discounted personal insurance including home, auto and recreational vehicles
- Charitable gift-matching program
- Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work.
D.A. Davidson has been in business for over 87 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
From: D.A. Davidson Companies
Job Summary
Full Time
$66k-87k (estimate)
04/09/2024
06/08/2024
dadavidson.com
BOGOTA, NJ
25 - 50
1935
NICOLE DAVIDSON
$5M - $10M
Related Companies
About D.A. Davidson Companies
At D.A. Davidson Companies, we identify and evaluate market trends, investment ideas and business opportunities, and turn them into actionable insights and strategies. Founded in 1935 as a small brokerage firm, D.A. Davidson has grown into a diversified financial services company comprised of seven distinct business units across the U.S. Through the years, our most important service has remained consistent: a personalized approach that reflects the individuality of each of our clients. As part of an employee-owned company, each of our associates has a unique perspective of success. We believe ...in doing what is right for our clients and are empowered to deliver high-impact solutions. We are with our clients every step of the wayleveraging our nationally-recognized research, capital markets and investment banking expertise, and a robust network of financial advisors. Clients not only benefit from our expansive platform of solutions and services, but also from strong values rooted in tradition and a deep sense of responsibility to our communities. Business units include: Wealth Management Trust Services Investment Management Equity Capital Markets Investment Banking Fixed Income Capital Markets Municipal Investment Management
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The job skills required for Registered Client Associate include Client Service, Customer Service, Problem Solving, Written Communication, Attention to Detail, CRM, etc. Having related job skills and expertise will give you an advantage when applying to be a Registered Client Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Registered Client Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Registered Client Associate positions, which can be used as a reference in future career path planning. As a Registered Client Associate, it can be promoted into senior positions as a Client Service Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Registered Client Associate. You can explore the career advancement for a Registered Client Associate below and select your interested title to get hiring information.
If you are interested in becoming a Registered Client Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Registered Client Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Registered Client Associate job description and responsibilities
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Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Registered Client Associate jobs
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Step 3: View the best colleges and universities for Registered Client Associate.
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