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Brokerage Clerks - 43-4011.00

O*NET-SOC Description

Perform duties related to the purchase, sale, or holding of securities. Duties include writing orders for stock purchases or sales, computing transfer taxes, verifying stock transactions, accepting and delivering securities, tracking stock price fluctuations, computing equity, distributing dividends, and keeping records of daily transactions and holdings.

Sample of Reported Job Titles

  • Account Administrator
  • Client Associate
  • Client Service Associate
  • Operations Clerk
  • Operations Coordinator
  • Registered Account Administrator
  • Registered Sales Assistant
  • Sales Assistant
  • Sales Trader
  • Trading Assistant

SOC Occupation Groups

Related Occupations


  • Compute total holdings, dividends, interest, transfer taxes, brokerage fees, or commissions and allocate appropriate payments to customers.
  • Correspond with customers and confer with coworkers to answer inquiries, discuss market fluctuations, or resolve account problems.
  • Document security transactions, such as purchases, sales, conversions, redemptions, or payments, using computers, accounting ledgers, or certificate records.
  • File, type, or operate standard office machines.
  • Monitor daily stock prices and compute fluctuations to determine the need for additional collateral to secure loans.
  • Perform clerical tasks, such as answering phones or distributing mail.
  • Prepare forms, such as receipts, withdrawal orders, transmittal papers, or transfer confirmations, based on transaction requests from stockholders.
  • Prepare reports summarizing daily transactions and earnings for individual customer accounts.
  • Schedule and coordinate transfer and delivery of security certificates between companies, departments, and customers.
  • Verify ownership and transaction information and dividend distribution instructions to ensure conformance with governmental regulations, using stock records and reports.

Detailed Work Activities

  • Answer telephones to direct calls or provide information.
  • Calculate financial data.
  • Confer with coworkers to coordinate work activities.
  • Coordinate operational activities.
  • Distribute incoming mail.
  • File documents or records.
  • Monitor financial information.
  • Prepare documentation for contracts, transactions, or regulatory compliance.
  • Prepare research or technical reports.
  • Respond to customer problems or complaints.
  • Schedule operational activities.
  • Verify accuracy of financial or transactional data.

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

No information available.

DOT Crosswalk Titles

  • Brokerage Clerk I
  • Brokerage Clerk II
  • Dividend Clerk
  • Margin Clerk II
  • Securities Clerk
  • Transfer Clerk