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.



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Occupational 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.
· Determine customers' financial services needs, and prepare proposals to sell services that address these needs.
· Contact prospective customers in order to present information and explain available services.
· Sell services and equipment, such as trusts, investments, and check processing services.
· Prepare forms or agreements to complete sales.
· Develop prospects from current commercial customers, referral leads, and sales and trade meetings.
· Review business trends in order to advise customers regarding expected fluctuations.
· Make presentations on financial services to groups in order to attract new clients.


Educational Requirements: ·  Bachelor's degree


Occupational Skill Set
Skill Relevance
·  Active Listening 100%
·  Speaking 96%
·  Time Management 92%
·  Active Listening 89%
·  Reading Comprehension 83%
·  Service Orientation 80%
·  Persuasion 79%
·  Social Perceptiveness 79%
·  Active Learning 79%
·  Critical Thinking 79%