About the Role
The Director of Transitions leads the strategy and design of the Financial Advisor transition experience at D.A. Davidson. This role is responsible for building a scalable, compliant, and client-focused transition program that supports experienced advisors joining the firm and ensures a high-quality experience for their clients.
This opportunity is ideal for an experienced FA transitions professional who enjoys shaping programs, setting standards, and partnering across the business to deliver consistent, high-trust outcomes. The Director works closely with a dedicated Transition Manager who leads day-to-day execution, staffing, and advisor planning calls.
What You’ll Do
• Set the strategic direction for the firm’s advisor transition program, aligning transition practices with business objectives and advisor experience standards.
• Establish and maintain standardized transition policies, procedures, and frameworks that promote consistency and regulatory compliance.
• Partner with Compliance, Legal, Supervision, Operations, Technology, Recruiting, and Advisor Solutions to translate requirements into practical transition standards.
• Serve as a senior subject-matter expert for advisor transitions, providing guidance on complex books of business, unique business models, and high-visibility transitions.
• Design and evolve the transition operating model, tools, disclosures, and documentation to support scale and continuous improvement.
• Identify and implement opportunities to enhance the advisor and client experience through process improvement and thoughtful use of technology.
• Act as a strategic advisor to the Transition Manager, offering direction, mentorship, and escalation support when needed.
What We’re Looking For
• FINRA Series 7/66 or 63/65 required; Series 9/10 preferred.
• Bachelor’s degree or equivalent combination of education and relevant industry experience.
• Five or more years experience with Financial Advisor transitions within a wealth management, broker-dealer, or RIA environment.
• Strong understanding of transition-related regulatory and supervisory requirements, including FINRA, SEC, Reg BI, DOL, and client privacy considerations.
• Proven ability to design and manage programs, policies, and standards rather than day-to-day transaction processing.
• Demonstrated success partnering across departments and influencing outcomes without direct authority.
• Executive-level communication skills and comfort interacting with senior leadership and experienced advisors.
• Demonstrated ability to establish credibility and trust with Financial Advisors, branch leaders, and internal partners through sound judgment, clarity, and discretion.
• Strong professional presence and relationship-building capability, particularly in high-stakes, time-sensitive, or emotionally charged transition environments.
• Ability to navigate sensitive conversations with confidence, empathy, and firmness when advisor, client, or firm interests are at risk.
• Calm and steady decision-making style; able to provide reassurance, structure, and direction during periods of uncertainty or change.
• High degree of integrity, emotional intelligence, and professional maturity, especially when serving as an escalation point on matters impacting advisor practices, client relationships, or firm reputation.
• Highly organized, strategic thinker with attention to detail and a strong bias toward protecting the advisor and client experience.
• Ability to travel as needed (approximately 10–15%).
What we offer:
Competitive salary plus excellent benefits and perks including, but not limited to:
• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.
The potential base pay hiring range for this role is $125,000 to $145,000 annually. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.
D.A. Davidson has been in business for 90 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!
Skills Required
- FINRA Series 7/66 or 63/65 required; Series 9/10 preferred
- Bachelor's degree or equivalent combination of education and relevant industry experience
- Five or more years experience with Financial Advisor transitions
- Strong understanding of transition-related regulatory and supervisory requirements
- Proven ability to design and manage programs, policies, and standards
- Demonstrated success partnering across departments and influencing outcomes without direct authority
- Executive-level communication skills
- Highly organized, strategic thinker with attention to detail
D.A. Davidson Companies Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about D.A. Davidson Companies and has not been reviewed or approved by D.A. Davidson Companies.
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Equity Value & Accessibility — Employee ownership through an ESOP is positioned as a core part of total rewards, complementing cash compensation. Ownership is framed as adding long‑term value alongside other benefits.
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Retirement Support — 401(k) options and company contributions via profit‑sharing are highlighted as part of the package. Early eligibility and combined ESOP/401(k) design can materially boost long‑term retirement savings when the firm performs well.
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Parental & Family Support — Paid parental, adoption, and surrogacy leave are explicitly offered. Broader paid time off and holidays are emphasized in role materials.
D.A. Davidson Companies Insights
What We Do
At D.A. Davidson Companies, we identify and evaluate market trends, investment ideas and business opportunities, and turn them into actionable insights and strategies. Founded in 1935 as a small brokerage firm, D.A. Davidson has grown into a diversified financial services company comprised of seven distinct business units across the U.S. Through the years, our most important service has remained consistent: a personalized approach that reflects the individuality of each of our clients. As part of an employee-owned company, each of our associates has a unique perspective of success. We believe in doing what is right for our clients and are empowered to deliver high-impact solutions. We are with our clients every step of the way—leveraging our nationally-recognized research, capital markets and investment banking expertise, and a robust network of financial advisors. Clients not only benefit from our expansive platform of solutions and services, but also from strong values rooted in tradition and a deep sense of responsibility to our communities.
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