Qualifications: (including specific Education and License requirements)

• Licensed as a FINRA Series 7, Full Registration/General Securities Representative and completion of the Series 63, Uniform Securities Agent State Law Exam.


• Extensive background as a registered assistant with demonstrated proficiency in institutional sales, marketing, trading or commensurate experience.


• Comprehensive knowledge of the bond and equity securities industry.


• Familiar with client investment objectives and goals and the plan the salesman has laid out to meet those objectives.


• Proficient knowledge of FINRA rules and regulations and Firm requirements regarding the establishment and maintenance of customer accounts.


• Excellent human relations, oral and written communication skills to successfully persuade people to establish and maintain business with the Firm.


• Demonstrated strong customer focus and initiative combined with meeting customer requirements in a multi-faceted, fast-paced sales and competitive service environment.

1. Proactively solicit business by contacting current clients who have available cash, and maturing bonds and recommend the purchase of tax-exempt and taxable bonds in keeping with investment goals and objectives. It is critical to monitor the accounts for available funds and to contact the client in a timely manner so the money is invested through Davidson Companies and not with the competition.

2. Initiate sales calls to current and potential clients to generate sales and to promote good will. This includes business owners, high net worth individuals, and other professionals. Represent the salesman to current and potential clients. Prepare presentation booklets and correspondence.

3. Execute through Bloomberg (and off system when applicable) buy/sell tax-exempt and taxable bond trades. Open and maintain customer account information and process special registration instructions.

4. Respond to client requests via phone/letter/e-mail for information as it pertains to the securities markets to include quotes and various bond offerings. Convey to the clients the salesman’s recommendations to buy, sell or hold various investments.

5. Collect, research and assimilate various financial reports through the use of the back office system to prepare periodic valuation statements and capital gain and loss statements. Obtaining this information may require contact with lawyers, accountants, trust officers and money managers.

6. Provide support to the Fixed Income Trading areas to include provide back-up to the traders and assist in the buying and selling of secondary securities. Conduct research as requested.

7. Resolve problems and discrepancies regarding customer internal and external accounts. This requires an extensive understanding of various internal departments and their functions.

8. Provide administrative support, preparing letters and mailers to promote services and products, and perform research.

9. Review back office reports to ensure funds are invested when securities mature. Distribute reports to appropriate sales person.