Select Page

Securities Sales Assistant Jobs

Walnut Creek, CA

From time to time, Alamo Capital has sales assistant job openings for licensed series 7 sales assistants at our headquarters in Walnut Creek, California, as well as in our Las Vegas, Nevada office.  We are hiring licensed series 7 sales assistants to work in our full service financial firm that has specialized in tax free investing for 26 years. Our aim is to provide timely and efficient executions of investment transactions for our retail, institutional and wholesale clientele.

We are recognized by the California State Treasurer’s Office as a Women Business Enterprise (WBE), part of the Target Business Enterprise program.

Series 7 Sales Assistant Duties:

  • All clerical & secretarial duties for Brokers
  • Liaison between Broker & Client, Operations & FirstSouthwest
  • Phones (in the am)
  • Customer relations – on phone, via email, in person – keeping Broker aware of all actions taken
  • Complete new account paperwork, get new accounts opened, assist & follow up as necessary
  • Requests from clients/broker to Operations for check requests & securities deliveries
  • Obtain all documents required by FirstSouthwest
  • Assist Operations Manager as necessary
  • Track all new business / direct business
  • Assist w/ marketing as necessary
  • Maintain all central office files: ie switch letters, seminars, Reg-T’s, trade issues, ACATs, correspondence, etc
  • Back up on mail processing
  • New Broker Transition Track all incoming ACATs Order entry and trade problem resolution as necessary

 

PERSON MUST BE UPBEAT, HAVE A COLLEGE EDUCATION AND HAVE A SERIES 7 LICENSE.

No staffing agencies, please.

Contact Us

For more information, please either call our office at (877) 68-ALAMO – or – (877) 682-5266, fill out or brief contact form or email our office at [email protected].

Website developed by Ryan McBride