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Associate Financial Advisor

Employer
D.A. Davidson Companies
Location
Bellevue, Washington State
Salary
TBD
Closing date
Nov 5, 2021

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Job Role
Financial Advisor
Employment Type
Full Time
Experience Level
1-4 years
CFP® Certification
Preferred
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Job Details

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:

This position serves as an integral component of a partnership with an FA or a team of FAs and plays a significant role in the ongoing development of the business. It functions as a junior advisor in the FA’s or team’s business. The position is actively involved in the solicitation and education of new clients, the introduction of products and services, portfolio analysis and provides independent investment recommendations.

Qualifications:

  • Bachelor’s degree in finance, accounting, economics or equivalent work experience.
  • Successful completion of the Series 7 and Series 63 exams.
  • Seasoned knowledge of the securities industry, its operations and it products to include stocks, bonds, margin accounts, options, various retirement plans (IRA’s, Simple, Roth) mutual funds, annuities.
  • In-depth knowledge of investments and regulatory policies and procedures.
  • In-depth knowledge and practical ability to analyze stocks and portfolios and select appropriate investments for individual clients.
  • Proficient computer skills (including Microsoft Word, Excel and Outlook.).
  • Advanced math, problem solving and analytical skills.
  • Strong interpersonal, customer service skills. Ability to build and maintain relationships and handle multiple and complex client situations.
  • Good organizational skills and attention to detail. Ability to independently manage multiple demands and competing priorities
  • Results oriented and highly motivated.
  • Ability to work in a fast-paced, deadline-oriented environment.
  • Ability to work effectively as part of a team; mentor others – serve as a role model.
  • 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:

  • Build and maintain an ongoing professional relationship with clients. Understand the client’s investment objectives, tolerance for risk and financial situation. Conduct in-depth analyses of client portfolios and potential suitable investments.
  • Achieve and maintain a solid understanding of all product categories to include managed accounts, complicated retirement accounts and annuities and their impact on a client’s portfolio.
  • Develop and implement methods to prospect for new clients in accordance with team strategies.
  • Open new accounts and gather assets within the team structure.
  • Select investments based on sound research and the client’s investment objectives. Contact clients on own initiative and use independent judgment to recommend investment strategies.
  • Know, understand and follow all policies, procedures, rules and regulations of the Firm as well as the various regulatory agencies. Ensure that clients also comply with rules and regulations. Anticipate potential issues and/or problems and use independent judgment to take appropriate action and/or to alert respective investment executive and/or branch management as necessary.
  • Keep informed of all pertinent information and activity related to a client’s account and transactions to include issues related to client suitability. Apply knowledge to initiate actions related to client accounts.
  • Provide work direction to assistants and/or other team members. Assist in coordinating workflow within the team structure. May train, coach and mentor others in the branch.
  • Actively seek out and maintain a sophisticated knowledge base of all products, services, forms and systems.
  • Perform any other duties and special projects as necessary! Including solving problems in client accounts, processing paperwork, taking unsolicited orders and preparing correspondence.

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.

Company

At D.A. Davidson Companies, we believe there is only one way to navigate through the wealth of financial services options: straightforward. We offer clear strategies with smart, personalized solutions that match your goals and show you the path to achieve them. We’re with you every step of the way'—'leveraging our nationally-recognized research, capital market and investment banking expertise, and the largest network of financial advisors headquartered in the West. Our personal approach is rooted in the values, stability, and discipline of our 80-year-old employee-owned company that is as independent as you are.
Find Us
Telephone
406-791-7372
Location
8 Third Street North
Great Falls
MT
59401
US
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