Sales Agents, Securities and Commodities

Buy and sell securities in investment and trading firms and develop and implement financial plans for individuals, businesses, and organizations.

Job Task

• Develop financial plans based on analysis of clients' financial status, and discuss financial options with clients.
• Relay buy or sell orders to securities exchanges or to firm trading departments.
• Record transactions accurately, and keep clients informed about transactions.
• 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.
• Read corporate reports and calculate ratios to determine best prospects for profit on stock purchases and to monitor client accounts.
• Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives.
• Review all securities transactions to ensure accuracy of information and that trades conform to regulations of governing agencies.
• Prepare documents needed to implement plans selected by clients.
• Complete sales order tickets and submit for processing of client requested transactions.
• Inform and advise concerned parties regarding fluctuations and securities transactions affecting plans or accounts.
• Prepare financial reports to monitor client or corporate finances.
• Identify potential clients, using advertising campaigns, mailing lists, and personal contacts.
• Contact prospective customers to determine customer needs, present information, and explain available services.
• Explain stock market terms and trading practices to clients.
• Analyze market conditions in order to determine optimum times to execute securities transactions.
• Offer advice on the purchase or sale of particular securities.
• Supply the latest price quotes on any security, as well as information on the activities and financial positions of the corporations issuing these securities.
• Calculate costs for billings and commissions purposes.

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