Securities, Commodities, and Financial Services Sales Agents

What the job really is

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.

At a glance

• Sector: Sales
• O*NET-SOC code: 41-3031
• O*NET job zone: 4 — considerable preparation
• Work sample tasks on file: 12
• Tools and technologies listed: 12

What you actually do

Work sample tasks recorded for this occupation:

• 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.

Tools and technology

C++, Linux, Microsoft Access, Microsoft Excel, Microsoft Office software, Microsoft Outlook, Microsoft PowerPoint, Microsoft SharePoint, Microsoft Visual Basic, Microsoft Windows, Microsoft Word, Oracle Java

What employers expect you to already be comfortable with.

Where this job leads

Related occupations — the usual moves up and sideways:

• Financial and Investment Analysts
• Personal Financial Advisors
• Investment Fund Managers
• Brokerage Clerks
• Financial Risk Specialists
• Loan Officers
• New Accounts Clerks
• Wholesale and Retail Buyers, Except Farm Products

Getting in

O*NET assigns this occupation job zone 4 (considerable preparation). The related occupations above are the realistic routes in and out.

Find openings

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Check this against the source

O*NET OnLine: Securities, Commodities, and Financial Services Sales Agents — the authoritative public-domain profile this page is derived from, including the full task list, reported skills and the wage estimates for your region.

Derived and rewritten from the public-domain O*NET database (U.S. Department of Labor / Employment and Training Administration). Figures are observations, not promises — always confirm salary, licensing and visa requirements with the employer and the relevant authority.