Sales Agents, Securities & Commodities

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Code: 41-3031.01

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

JobTitles : Investment Specialist, Investment Executive, Investment Consultant, Registered Representative, Stock Broker, Investment Advisor, Broker, Financial Consultant, Financial Representative, Fixed Income Manager

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, or 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 conformance to governing agency regulations.
  • 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, or personal contacts.
  • Review financial periodicals, stock and bond reports, business publications, or other material to identify potential investments for clients or to keep abreast of trends affecting market conditions.
  • Contact prospective customers to determine customer needs, present information, or explain available services.