Registered Client Associate
Wells Fargo
Los Angeles, CA1+ yrs12m agovia LinkedIn
This job at a glance
- Who can apply
- 1 year+ of experience
- Must know
- SalesMarketingCustomer serviceExcelMicrosoft Office
- Work
- On-site in Los Angeles
- Pay
- Not stated by the employer.
- Skill demand
- Customer service65%Excel28%Sales27%Marketing16%of 99 similar entry-level jobs posted in the US this week
- Listed
- Nov 7, 2026 · still open
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About This Role
Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors.
In This Role You Will
- Assist Financial Advisor(s) with sales, service, and operational related activities.
- Provide service to clients via telephone, direct interaction, and/or written correspondence.
- Facilitate Financial Advisor and client requests for account-related information and/or quotes.
- Schedule and prepare for appointments with new or prospective clients.
- Establish and service client accounts.
- Prepare forms, research account inquiries and/or issues.
- Perform various administrative functions for the Financial Advisor(s) and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet regulatory requirements, and establishing and maintaining filing and record keeping to support client relationships.
- Act as the liaison for all referral sources, reviewing paperwork for completeness and forwarding to management for review.
Requirements & Tech Stack
- 1+ year of Brokerage and Client Services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
- US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
Desired Qualifications
- Brokerage client support experience.
- Administrative support experience in financial services.
- Experience interacting directly with customers.
- Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills.
- Client service focus with the ability to listen to customer needs and recommend solutions.
- Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment.
Job Expectations
- US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment. Compliance with state law registration and licensing requirements is mandatory. Specific product licenses or SAFE licensing may apply.
- Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
- For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
- Specific compliance policies may apply regarding outside activities and/or personal investing.
- This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. Individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
- Successful candidates must also meet and comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
- This position is not eligible for Visa sponsorship.
Posting Location
- 10877 Wilshire Blvd Ste 1700 Los Angeles, California 90024
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement