Registered Client Associate

Registered Client Associate role at Wells Fargo Advisors within Wealth and Investment Management. Responsible for assisting Financial Advisors with sales, service and operational activities, providing client service via phone, direct interaction, and written correspondence; facilitating requests for account information and quotes; scheduling and preparing for appointments with new or prospective clients; establishing and servicing client accounts; preparing forms; researching account inquiries; coordinating marketing campaigns; maintaining files to meet regulatory requirements; liaising with referral sources and confirming paperwork for completeness. Requires 1+ year in brokerage/client services (or equivalent), FINRA licensing (Series 7 and 63) or recognized equivalents, proficiency in Microsoft Office, strong client-service focus, ability to prioritize and work in a dynamic environment, and compliance with regulatory/licensing standards. Notable elements include FINRA licensing process initiation at offer, background checks, ongoing regulatory obligations, and non-eligibility for visa sponsorship. Posting location is Los Angeles, CA. Benefits and equal opportunity employer information included.