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Sales Agents, Securities and Commodities - 41-3031.01

O*NET-SOC Description

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

Sample of Reported Job Titles

  • Account Executive
  • Financial Consultant
  • Financial Representative
  • Investment Advisor
  • Investment Consultant
  • Investment Executive
  • Investment Representative
  • Investment Specialist
  • Registered Representative
  • Stock Broker

SOC Occupation Groups

Related Occupations


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

Detailed Work Activities

  • Analyze market conditions or trends.
  • Calculate costs of goods or services.
  • Contact current or potential customers to promote products or services.
  • Customize financial products or services to meet customer needs.
  • 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.
  • Identify investment opportunities or strategies.
  • Identify potential customers.
  • Maintain records of sales or other business transactions.
  • Monitor market conditions or trends.
  • Prepare financial documents, reports, or budgets.
  • Prepare sales or other contracts.
  • Process sales or other transactions.
  • Review accuracy of sales or other transactions.

Military Crosswalk Titles

No information available.

Apprenticeship Crosswalk Titles

No information available.

DOT Crosswalk Titles

  • Broker-and-Market Operator, Grain
  • Financial Planner
  • Floor Broker
  • Registered Representative