Securities, Commodities, and Financial Services Sales Agent Career

Job Description: 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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Securities, Commodities, and Financial Services Sales Agent Career

What Securities, Commodities, and Financial Services Sales Agents do:

  • Monitor markets or positions.
  • Determine customers' financial services needs and prepare proposals to sell services that address these needs.
  • Contact prospective customers to present information and explain available services.
  • Discuss financial options with clients and keep them informed about transactions.
  • Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.
  • Report all positions or trading results.
  • Agree on buying or selling prices at optimal levels for clients.
  • Develop financial plans, based on analysis of clients' financial status.
  • Keep accurate records of transactions.
  • Identify opportunities or develop channels for purchase or sale of securities or commodities.
  • Explain stock market terms or trading practices to clients.
  • 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.
  • Prepare financial reports to monitor client or corporate finances.
  • Devise trading, option, or hedge strategies.
  • Make bids or offers to buy or sell securities.
  • Offer advice on the purchase or sale of particular securities.
  • Calculate costs for billings or commissions.
  • Complete sales order tickets and submit for processing of client-requested transactions.
  • Supply the latest price quotes on any security, as well as information on the activities or financial positions of the corporations issuing these securities.
  • Sell services or equipment, such as trusts, investments, or check processing services.
  • Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.
  • Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.
  • Evaluate costs and revenue of agreements to determine continued profitability.
  • Relay buy or sell orders to securities exchanges or to firm trading departments.
  • Supervise support staff and ensure proper execution of contracts.

What work activities are most important?

Importance Activities

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

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

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

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

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

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

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.

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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

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

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

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.

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.

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

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

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

Holland Code Chart for a Securities, Commodities, and Financial Services Sales Agent