Wealth Management Client Associate

D.A. Davidson & Co. – Wealth Management / If you have a cover letter you would like to share with the hiring team, please do so here. Have you ever been employed by D.A. Davidson Companies? ✱ Yes No If yes, what was your last year of employment with the company? Type N/A if not applicable ✱ Have you previously applied for employment with D.A. Davidson Companies? ✱ Yes No Cannot Recall Are you legally authorized to work in the United States without sponsorship? ✱ Yes No Will you now or in the future require D.A. Davidson Companies to commence ("sponsor") an immigration case to lawfully employ you in the United States (for example, H-1B or other employment-based immigration case)? This is sometimes called "sponsorship" for an employment-based visa status. ✱ Yes No Are you able to perform the essential functions of the position(s) for which you are applying with or without reasonable accommodations? ✱ Yes No Have you been convicted of, or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony in the past 10 years? ✱ Yes No Have you been convicted of, pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving investments or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or conspiracy to commit any of these offenses in the past 10 years? ✱ Yes No IMPORTANT – PLEASE READ: If you are employed by D.A. Davidson Companies, securities industry regulations require that your fingerprints be submitted to the FBI. All criminal history, including arrests and charges that did not result in a conviction, and including arrests, charges or convictions that have been expunged, will be disclosed to D.A. Davidson Companies and reviewed by a limited number of people. In addition, FINRA may require you to submit documentation regarding the incident. Conviction of or “no contest” pleas to certain crimes in the last 10 years may disqualify you from working for D.A. Davidson Companies, even if you were a minor or if the record was sealed or expunged. If you have concerns or questions, please contact D.A. Davidson Companies’ Director of Human Capital at View phone number on click.appcast.io ✱ I have read this Are you presently licensed in the insurance or securities industry? If so, are the disclosures on your Form U-4 up to date? ✱ Yes No Have you ever been licensed in the insurance or securities industry? ✱ Yes No If you answered “Yes” to either licensing question above, have you ever been disciplined by a regulatory authority, or had a license suspended or revoked? ✱ Yes No N/A If you are hired by D.A. Davidson Companies, do you acknowledge that you will be required, in accordance with firm policy and as a condition of employment, to move your securities accounts (limited exceptions for certain account types) to D.A. Davidson Companies within 60 days of your hire? ✱ Yes No Has a bonding company ever denied, paid out on, or revoked a bond for you? ✱ Yes No Do you have an unsatisfied judgements or liens against you? ✱ Yes No Education What is the highest level of education you have completed? ✱ High School or Equivalent Some College Associate's Degree Bachelor's Degree Master's Degree Doctorate Other Location of Institution (City, State, Country) ✱ Degree or Certification Earned ✱ Attendence End Date (MM/YYYY or "Present" if still enrolled) ✱ Additional Training or Certifications Employment Please provide your employment history below. If you have not had 5 employers, please fill what you can and write "N/A" for the remainder of your answers. If you have had more than 5 employers, please enter the 5 that are most recent. ✱ I have read this Is this your current employer? ✱ Yes No Employment End Date (MM/YYYY) ✱ Job Title ✱ Summarize the nature of the work performed & job responsibilities ✱ Reason for Leaving ✱ Is this your current employer? ✱ Yes No Employment End Date (MM/YYYY) ✱ Job Title ✱ Summarize the nature of the work performed & job responsibilities ✱ Reason for Leaving ✱ Is this your current employer? ✱ Yes No Employment End Date (MM/YYYY) ✱ Job Title ✱ Summarize the nature of the work performed & job responsibilities ✱ Reason for Leaving ✱ Is this your current employer? ✱ Yes No Employment End Date (MM/YYYY) ✱ Job Title ✱ Summarize the nature of the work performed & job responsibilities ✱ Reason for Leaving ✱ References Please provide professional references below ✱ I have read this Relationship ✱ Manager Colleague Coach Other How long have you know this reference? ✱ Less than a year 1-2 years 3+ years Relationship ✱ Manager Colleague Coach Other How long have you know this reference? ✱ Less than a year 1-2 years 3+ years Relationship to Current D.A. Davidson Employees Please list all employees of D.A. Davidson Companies with whom you are acquainted, and indicate whether you are related ✱ Maryland Polygraph Statement Under Maryland law, an employer may not require or demand, as a condition of employment, prospective employment, or continued employment, that an individual submit to or take a polygraph examination or similar test. An employer who violates this law is guilty of a misdemeanor and subject to a fine not exceeding $100. ✱ I have read this It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. ✱ #J-18808-Ljbffr