Occupation: Securities, Commodities, and Financial Services Sales Agents

Securities, Commodities, and Financial Services Sales Agents

Buy and sell securities or commodities in investment and trading firms, or provide financial services to businesses and individuals. May advise customers about stocks, bonds, mutual funds, commodities, and market conditions.

41-3031.00 | 26 tasks | 10 job titles

Reported Job Titles

(10)
  • Broker
  • Commodities Broker
  • Equity Trader
  • Financial Advisor
  • Financial Consultant
  • Investment Representative
  • Investments Advisor
  • Investments Specialist
  • Personal Banker
  • Trader

Core Tasks

(22)
  • Make bids or offers to buy or sell securities.
  • Monitor markets or positions.
  • Agree on buying or selling prices at optimal levels for clients.
  • Keep accurate records of transactions.
  • Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.
  • Complete sales order tickets and submit for processing of client-requested transactions.
  • Report all positions or trading results.
  • Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.
  • Discuss financial options with clients and keep them informed about transactions.
  • Identify opportunities or develop channels for purchase or sale of securities or commodities.
  • Develop financial plans, based on analysis of clients' financial status.
  • Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.
  • Devise trading, option, or hedge strategies.
  • Determine customers' financial services needs and prepare proposals to sell services that address these needs.
  • Track and analyze factors that affect price movement, such as trade policies, weather conditions, political developments, or supply and demand changes.
  • Inform other traders, managers, or customers of market conditions, including volume, price, competition, or dynamics.
  • Offer advice on the purchase or sale of particular securities.
  • Contact prospective customers to present information and explain available services.
  • Explain stock market terms or trading practices to clients.
  • Calculate costs for billings or commissions.
  • Prepare financial reports to monitor client or corporate finances.
  • Supply the latest price quotes on any security, as well as information on the activities or financial positions of the corporations issuing these securities.

Supplemental Tasks

(4)
  • Supervise support staff and ensure proper execution of contracts.
  • Relay buy or sell orders to securities exchanges or to firm trading departments.
  • Evaluate costs and revenue of agreements to determine continued profitability.
  • Sell services or equipment, such as trusts, investments, or check processing services.