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Securities, Commodities, and Financial Services Sales Agents - 41-3031.00

O*NET-SOC 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.

Sample of Reported Job Titles

  • Broker
  • Commodities Broker
  • Equity Trader
  • Financial Advisor
  • Financial Consultant
  • Investment Representative
  • Investments Advisor
  • Investments Specialist
  • Personal Banker
  • Trader

SOC Occupation Groups

41-0000 Sales and Related Occupations
41-3000 Sales Representatives, Services
41-3030 Securities, Commodities, and Financial Services Sales Agents
41-3031.00 Securities, Commodities, and Financial Services Sales Agents

Related Occupations


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

Detailed Work Activities

  • Analyze business or financial data.
  • Analyze market conditions or trends.
  • Calculate costs of goods or services.
  • Contact current or potential customers to promote products or services.
  • Coordinate activities with suppliers, contractors, clients, or other departments.
  • Customize financial products or services to meet customer needs.
  • Develop professional relationships or networks.
  • Develop proposals for current or prospective customers.
  • Estimate costs or terms of sales.
  • Explain financial information to customers.
  • Explain technical product or service information to customers.
  • Gather customer or product information to determine customer needs.
  • Gather information in order to provide services to clients.
  • Identify investment opportunities or strategies.
  • Maintain records of sales or other business transactions.
  • Monitor market conditions or trends.
  • Monitor sales activities.
  • Negotiate prices or other sales terms.
  • Negotiate purchases or contracts.
  • Prepare financial documents, reports, or budgets.
  • Prepare sales or other contracts.
  • Process sales or other transactions.
  • Purchase products or services.
  • Review accuracy of sales or other transactions.
  • Sell products or services.
  • Share sales-related or market information with colleagues.
  • Supervise sales or support personnel.

Military Crosswalk Titles

  • Comptroller (Navy - Commissioned or Warrant Officer)
  • Financial Management (Air Force - Commissioned Officer only)
  • Financial Management Officer (Marine Corps - Commissioned Officer only)

Apprenticeship Crosswalk Titles

  • Financial Services Representative

DOT Crosswalk Titles

  • Broker-and-Market Operator, Grain
  • Financial Planner
  • Floor Broker
  • Registered Representative
  • Sales Agent, Financial-Report Service
  • Sales Representative, Financial Services
  • Securities Trader