Client Associate or Registered Client Associate

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. We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Newport Beach, CA office. 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.
• High school graduate. Post-secondary education, or comparable work experience preferred.
• Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
• 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.
• 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!
Medical, Dental and Vision
• Paid holidays
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• 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 $26.00 to $32.00 per hour. 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.
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 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. 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. Davidson’s California Resident Privacy Policy.