Buy and sell securities in investment and trading firms and develop and implement financial plans for individuals, businesses, and organizations.
- Grain Trader
- Account Executive
- Account Leader
- Account Specialist
- Block Trader
- Bond Broker
- Bond Trader
- Branch Manager
- Business Account Leader
- 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.
People who work in this occupation generally have the interest code: EC.
This means people who work in this occupation generally have Enterprising interests, but also prefer Conventional environments.
People who work in this occupation generally prize Achievement, but also value Working Conditions and Relationships in their jobs.
- Customer and Personal Service - Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
- Economics and Accounting - Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
- English Language - Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
- Sales and Marketing - Knowledge of principles and methods for showing, promoting, and selling products or services. This includes marketing strategy and tactics, product demonstration, sales techniques, and sales control systems.
- Mathematics - Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
- Speaking - Talking to others to convey information effectively.
- Active Listening - Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
- Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
- Persuasion - Persuading others to change their minds or behavior.
- Reading Comprehension - Understanding written sentences and paragraphs in work related documents.
- Systems Analysis - Determining how a system should work and how changes in conditions, operations, and the environment will affect outcomes.
- Judgment and Decision Making - Considering the relative costs and benefits of potential actions to choose the most appropriate one.
Most of these occupations require a four-year bachelor's degree, but some do not.
In 2013, the average annual wage in United States was $102,510
During 2010, this occupation employed approximately 312,000 people in United States. It is projected that there will be 359,000 employed in 2020.
This occupation will have about 4,000 openings due to growth and about 129,000 replacement openings for approximately 133,000 total annual openings.
collegeUniversity of Southern California
majorFinancial Planning and Services
majorInvestments and Securities
majorBusiness Administration and Management, General
collegeSan Jose State University
onetSales Agents, Financial Services