Securities and Commodities Sales Agents

Finance > Securities & Investments

Projected Growth: Average

Projected Job Openings

Considerable Preparation Needed

Job Description

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

Common job titles of Securities and Commodities Sales Agents include:

Experience and Education

A considerable amount of work-related skill, knowledge, or experience is needed for this occupation. For example, a person in this occupation must complete four years of college and work for several years in industry to be considered qualified.

  • 67.32% said they needed a Bachelor's Degree.

  • 12.62% said they needed a Post-Baccalaureate Certificate.


    Discuss financial options with clients and keep them informed about transactions.

    Offer advice on the purchase or sale of particular securities.

    Calculate costs for billings or commissions.

    Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.

    Relay buy or sell orders to securities exchanges or to firm trading departments.

    Contact prospective customers to determine customer needs, present information, or explain available services.

    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.

    Keep accurate records of transactions.

    Explain stock market terms or trading practices to clients.

    Analyze market conditions to determine optimum times to execute securities transactions.

    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.

    Read corporate reports and calculate ratios to determine best prospects for profit on stock purchases.

    Prepare financial reports to monitor client or corporate finances.

    Inform and advise concerned parties regarding fluctuations or securities transactions affecting plans or accounts.

    Prepare documents needed to implement plans selected by clients.

    Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.

    Develop financial plans, based on analysis of clients' financial status.

    Identify potential clients, using advertising campaigns, mailing lists, or personal contacts.


Tablet computers

Personal computers

Notebook computers

Mobile computing devices

Desktop computers



Data entry software



AIQ Systems TradingExpert Pro


Aspen Research Group Aspen Graphics

All Technologies

Bloomberg Professional

CableSoft LiveWire Trader

Calypso Technology Calypso Asset Management

CSI Complex Systems ClientTrade

Customer relationship management CRM software

Derivicom FinOptions XL

Email software

FundCount Web

Graphics software

Imagine Software Imagine Trading System

Knight BondPoint

Leading Market Technologies EXPO

Regulatory agency compliance software

SunGard MicroHedge

Thomson Reuters Tradeweb

Trading Blox


Listen to and understand information and ideas presented through spoken words and sentences.

Cognitive Abilities › Verbal Abilities › Oral Comprehension

Read and understand information and ideas presented in writing.

Cognitive Abilities › Verbal Abilities › Written Comprehension

Communicate information and ideas in speaking so others will understand.

Cognitive Abilities › Verbal Abilities › Oral Expression

Tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem.

Cognitive Abilities › Idea Generation and Reasoning Abilities › Problem Sensitivity

Apply general rules to specific problems to produce answers that make sense.

Cognitive Abilities › Idea Generation and Reasoning Abilities › Deductive Reasoning

Combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).

Cognitive Abilities › Idea Generation and Reasoning Abilities › Inductive Reasoning

Add, subtract, multiply, or divide quickly and correctly.

Cognitive Abilities › Quantitative Abilities › Number Facility

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Occupation Sections


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.


Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.

Computers and Electronics

Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.

Administration and Management

Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.

Law and Government

Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.


Knowledge of human behavior and performance; individual differences in ability, personality, and interests; learning and motivation; psychological research methods; and the assessment and treatment of behavioral and affective disorders.

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