Marketing Supervisory Principal
D.A. Davidson(10 hours ago)
About this role
The Marketing Supervisory Principal at D.A. Davidson is a supervisory expert within Wealth Management’s Marketing and Planning Services who provides principal approval and guidance on public communications. The role ensures brokerage and advisory marketing materials comply with FINRA, SEC and state securities and insurance laws, and serves as a resource for front-office staff and regional supervisory personnel. It also stays current on regulatory updates and helps develop related training and processes.
Required Skills
- Regulatory Compliance
- FINRA Rules
- SEC Rules
- MSRB Rules
- Social Media
- Communications Review
- Risk Assessment
- Written Communication
- Oral Communication
- Microsoft Office
+3 more
Qualifications
- Bachelor's Degree
- FINRA SIE
- Series 7
- Series 9/10
- Series 24
- Series 66
- Series 63/65
About D.A. Davidson
dadavidson.comD.A. Davidson is a U.S.-based financial services firm that provides wealth management, brokerage, investment banking, capital markets, and trust services to individuals, families, businesses, and municipalities. The firm offers personalized financial planning, portfolio management, equity and fixed‑income trading, and middle‑market advisory and underwriting services. Known for a client‑focused, regional‑to‑national footprint and an employee‑owned culture, D.A. Davidson emphasizes long‑term relationships, independent research, and tailored capital solutions.
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