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  • Client Services Associate

    Under immediate supervision, Client Services Associate (Registered) assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records performs a wide variety of administrative support duties, including but not limited to, word processing, preparing mailings, filing, answering the phone, obtaining approvals for FA(s) communications and advertisements provides overall customer service support to clients, may enter trades as directed by the FA(s). 

    • Performs clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.  
    • Works with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
    • Provides quotes and other account-related information to assist clients.
    • Organizes and assists in the maintenance of complete client account and trade-related records for the FA(s) and certain required files for the branch office.
    • Performs operational or administrative functions for client-related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
    • Provides reports and other information to FA(s), as requested.
    • Performs calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics. Registered Client Service Associates may highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.
    • Accepts and enters unsolicited orders from clients in states in which they are registered and may enter orders received directly from a FA who is registered in the client’s state of residence.
    • Identifies situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
    • Performs various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.
    • General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
    • High School Diploma or equivalent required.
    • 2 years of investment industry experience required.
    • Series 7 and 63 or 66 licenses required.

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