Client Service Associate - Registered
Company: Stifel Nicolaus
Posted on: June 9, 2021
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).
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Performs clerical functions related to opening client accounts
and ongoing account coding based on account features chosen by the
- 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
- 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
- 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
- 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
- High School Diploma or equivalent required.
- 2 years investment industry experience required.
- Series 7 and 63 or 66 licenses required.
Established in 1890, Stifel is one of the nation's leading
full-service wealth management and investment banking firms. Stifel
serves clients from more than 400 offices across the United States
and ranks as the nation's seventh largest full-service investment
firm in terms of number of financial advisors. We are also a
leading provider of investment banking services to the middle
market, a top-ten municipal bond underwriter, and home to one of
the industry's largest research franchises. In addition our Stifel
Bank subsidiary provides a comprehensive range of banking
At Stifel we offer an entrepreneurial environment, comprehensive
benefits package to include health, dental and vision care, 401k,
wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
Keywords: Stifel Nicolaus, Nantucket , Client Service Associate - Registered, Other , Harwich, Massachusetts
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