Senior Registered Associate @ D.A. Davidson

Finance & Banking (1)

Salary Range: 135000 to 155000 (Currency: USD) (Pay period: per-year-salary)

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Summary/Function:

Provide administrative and operational support for an assigned group of Financial Advisors (FAs). The support provided will vary depending on the requirements of the FAs and the branch. The position is required to maintain a high degree of confidentiality with respect to client, FA, branch and company information. In addition, the position may be required to function independently in the FA’s absence and maintain responsibilities of the desk in accordance with branch, firm and regulatory policies and procedures.

Qualifications/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.

Duties:

• Provide professional, courteous customer service to ensure client satisfaction. In some situations, this position may 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 including issues related to client suitability.

• Provide professional telephone support for the assigned FA.

• Compose and type letters and memoranda in accordance with established policies and procedures.

• Assist FA in developing and implementing periodic client mailings to enhance the relationship between the FA, the client and the Senior Registered Associate.

• Watch for potential problems. Alert the FA and /or Branch Manager when necessary.

• Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.

• Understand and utilize the Firm’s desktop systems and applications and the related functionality as it applies to client service and business enhancement.

• Perform any other duties and special projects as necessary to include providing assistance and back up for other positions in the branch, serving as a mentor and providing training to less experienced staff.

What we offer:

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.

The potential base pay hiring range for this role is $28.85 to $33.65 (per hour based pay off $60,000 to $70,000 equivalent salary), plus incentive compensation opportunities with the potential to generate a total annualized compensation range between $135,000 to $155,000 for the highly qualified candidate. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate. This role is eligible to participate in applicable D.A. Davidson variable compensation programs.

D.A. Davidson has been in business for over 90 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!

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

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, sex, gender, gender expression, 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.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.

Senior Registered Associate

D.A. Davidson

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