Sales Agents - Securities & Commodities

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Sales Agents - Securities & Commodities

Careers / Sales Agents - Securities & Commodities

Summary Description


	Buy and sell securities in investment and trading firms and develop and implement financial plans for individuals, businesses, and organizations.

Sample Job Titles

1.	Account Executive

2.	Account Leader

3.	Account Specialist

4.	Accounts Executive

5.	Block Trader

6.	Bond Broker

7.	Bond Trader

8.	Branch Manager

9.	Broker

10.	Broker and Market Operator, Grain

11.	Business Account Leader

12.	Buyer

13.	Chartered Financial Analyst (CFA)

14.	Commodity Broker

15.	Cotton Broker

16.	Customer Agent

17.	Equity Trader

18.	Field Marketing Representative

19.	Financial Adviser

20.	Financial Advisor

21.	Financial Consultant

22.	Financial Planner

23.	Financial Representative

24.	Fiscal Specialist

25.	Fixed Income Manager

26.	Floor Broker

27.	Futures Trader

28.	Grain Broker

29.	Grain Trader

30.	Inside Sales Representative

31.	Investment Advisor

32.	Investment Banker

33.	Investment Consultant

34.	Investment Counselor

35.	Investment Executive

36.	Investment Officer

37.	Investment Representative

38.	Investment Specialist

39.	Investments Manager

40.	Mine Promotor

41.	Mining Speculator

42.	Money Manager

43.	Municipal Bond Trader

44.	Mutual Funds Agent

45.	Oil Lease Broker

46.	Oil Speculator

47.	Outside Sales Representative

48.	Portfolio Administrator

49.	Registered Representative

50.	Sales Specialist

51.	Securities Trader

52.	Speculator

53.	Stock Broker

54.	Stock Speculator

55.	Stock Trader

56.	Stockbroker

57.	Trader

58.	Trading Specialist

59.	Trust Officer

Job Tasks

	Complete sales order tickets and submit for processing of client requested transactions.

	Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives.

	Record transactions accurately, and keep clients informed about transactions.

	Develop financial plans based on analysis of clients' financial status, and discuss financial options with clients.

	Review all securities transactions to ensure accuracy of information and that trades conform to regulations of governing agencies.

	Offer advice on the purchase or sale of particular securities.

	Relay buy or sell orders to securities exchanges or to firm trading departments.

	Identify potential clients, using advertising campaigns, mailing lists, and personal contacts.

	Review financial periodicals, stock and bond reports, business publications and other material in order to identify potential investments for clients and to keep abreast of trends affecting market conditions.

	Contact prospective customers to determine customer needs, present information, and explain available services.

	Prepare documents needed to implement plans selected by clients.

	Analyze market conditions in order to determine optimum times to execute securities transactions.

	Explain stock market terms and trading practices to clients.

	Inform and advise concerned parties regarding fluctuations and securities transactions affecting plans or accounts.

	Calculate costs for billings and commissions purposes.

	Supply the latest price quotes on any security, as well as information on the activities and financial positions of the corporations issuing these securities.

	Prepare financial reports to monitor client or corporate finances.

	Read corporate reports and calculate ratios to determine best prospects for profit on stock purchases and to monitor client accounts.

Work Activities

Importance	Work Activity

Establishing and Maintaining Interpersonal Relationships — Developing constructive and cooperative working relationships with others, and maintaining them over time.


		maintain cooperative relationships with clients

Interacting With Computers — Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information.


		use computers to enter, access or retrieve data

		use spreadsheet software

Communicating with Persons Outside Organization — Communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail.


		interview customers

		write business correspondence

		make presentations

Selling or Influencing Others — Convincing others to buy merchandise/goods or to otherwise change their minds or actions.


		conduct sales presentations

		sell products or services

		sell securities services

		solicit orders from established or new customers

Organizing, Planning, and Prioritizing Work — Developing specific goals and plans to prioritize, organize, and accomplish your work.

Getting Information — Observing, receiving, and otherwise obtaining information from all relevant sources.


		access media advertising services

		obtain information from individuals

Analyzing Data or Information — Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.


		analyze financial data

		analyze sales activities or trends

		evaluate degree of financial risk

		analyze social or economic data

		analyze applicant's financial status

		analyze market conditions

Interpreting the Meaning of Information for Others — Translating or explaining what information means and how it can be used.


		inform clients of fluctuations affecting account

Processing Information — Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data.


		compute taxes

		compute financial data

		verify bank or financial transactions

		reconcile or balance financial records

		prepare list of prospective customers

Performing for or Working Directly with the Public — Performing for people or dealing directly with the public. This includes serving customers in restaurants and stores, and receiving clients or guests.


		collect payment

		provide customer service

		answer customer or public inquiries

Making Decisions and Solving Problems — Analyzing information and evaluating results to choose the best solution and solve problems.


		make decisions

Updating and Using Relevant Knowledge — Keeping up-to-date technically and applying new knowledge to your job.


		follow contract, property, or insurance laws

		use knowledge of economic trends

		use government regulations

		use interpersonal communication techniques

		learn trends in world trade

		use public speaking techniques

		use marketing techniques

		use sales techniques

		use knowledge of written communication in sales work

Judging the Qualities of Things, Services, or People — Assessing the value, importance, or quality of things or people.


		evaluate product quality for sales activities

Identifying Objects, Actions, and Events — Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events.

Communicating with Supervisors, Peers, or Subordinates — Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person.

Evaluating Information to Determine Compliance with Standards — Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.


		ensure correct grammar, punctuation, or spelling

Developing Objectives and Strategies — Establishing long-range objectives and specifying the strategies and actions to achieve them.

Performing Administrative Activities — Performing day-to-day administrative tasks such as maintaining information files and processing paperwork.


		maintain records, reports, or files

		prepare reports

Thinking Creatively — Developing, designing, or creating new applications, ideas, relationships, systems, or products, including artistic contributions.

Documenting/Recording Information — Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form.


		maintain account records

		complete information on loan forms

		maintain telephone logs

Estimating the Quantifiable Characteristics of Products, Events, or Information — Estimating sizes, distances, and quantities; or determining time, costs, resources, or materials needed to perform a work activity.

Resolving Conflicts and Negotiating with Others — Handling complaints, settling disputes, and resolving grievances and conflicts, or otherwise negotiating with others.

Scheduling Work and Activities — Scheduling events, programs, and activities, as well as the work of others.

Provide Consultation and Advice to Others — Providing guidance and expert advice to management or other groups on technical, systems-, or process-related topics.


		advise clients or customers

		advise clients on financial matters

Developing and Building Teams — Encouraging and building mutual trust, respect, and cooperation among team members.

Monitoring and Controlling Resources — Monitoring and controlling resources and overseeing the spending of money.


		monitor credit extension decisions

Guiding, Directing, and Motivating Subordinates — Providing guidance and direction to subordinates, including setting performance standards and monitoring performance.


		motivate people

Assisting and Caring for Others — Providing personal assistance, medical attention, emotional support, or other personal care to others such as coworkers, customers, or patients.

Training and Teaching Others — Identifying the educational needs of others, developing formal educational or training programs or classes, and teaching or instructing others.

Coaching and Developing Others — Identifying the developmental needs of others and coaching, mentoring, or otherwise helping others to improve their knowledge or skills.

Coordinating the Work and Activities of Others — Getting members of a group to work together to accomplish tasks.

Monitor Processes, Materials, or Surroundings — Monitoring and reviewing information from materials, events, or the environment, to detect or assess problems.

Staffing Organizational Units — Recruiting, interviewing, selecting, hiring, and promoting employees in an organization.

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Sylvester Stallone onced worked as a lion-cage cleaner!

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