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Securities, Commodities, and Financial Services Sales Agents

It's a bright outlook for

This career will grow rapidly in the next few years.

Learn more about what they do.

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.

Related: Brokerage Clerks Financial & Investment Analysts Financial Risk Specialists Investment Fund Managers Personal Financial Advisors

Industries: Finance & Insurance

Summary
Details

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

Judgment and Decision Making
- Thinking about the pros and cons of different options and picking the best one.
Operation and Control
- Using equipment or systems.
Systems Evaluation
- Measuring how well a system is working and how to improve it.
Monitoring
- Keeping track of how well people and/or groups are doing in order to make improvements.
Instructing
- Teaching people how to do something.
Mathematics
- Using math to solve problems.
Science
- Using scientific rules and strategies to solve problems.
Reading Comprehension
- Reading work-related information.
Installation
- Installing equipment, machines, wiring, or computer programs.
Learning Strategies
- Using the best training or teaching strategies for learning new things.
Technology Design
- Making equipment and technology useful for customers.
Active Listening
- Listening to others, not interrupting, and asking good questions.
Management of Financial Resources
- Making spending decisions and keeping track of what is spent.
Management of Personnel Resources
- Selecting and managing the best workers for a job.
Management of Material Resources
- Managing equipment and materials.
Equipment Maintenance
- Planning and doing the basic maintenance on equipment.
Time Management
- Managing your time and the time of other people.
Coordination
- Changing what is done based on other people's actions.
Critical Thinking
- Thinking about the pros and cons of different ways to solve a problem.
Negotiation
- Bringing people together to solve differences.
Operations Monitoring
- Watching gauges, dials, or display screens to make sure a machine is working.
Systems Analysis
- Figuring out how a system should work and how changes in the future will affect it.
Equipment Selection
- Deciding what kind of tools and equipment are needed to do a job.
Service Orientation
- Looking for ways to help people.
Operations Analysis
- Figuring out what a product or service needs to be able to do.
Speaking
- Talking to others.
Quality Control Analysis
- Testing how well a product or service works.
Repairing
- Repairing machines or systems using the right tools.
Complex Problem Solving
- Noticing a problem and figuring out the best way to solve it.
Writing
- Writing things for co-workers or customers.
Programming
- Writing computer programs.
Troubleshooting
- Figuring out what is causing equipment, machines, wiring, or computer programs to not work.
Persuasion
- Talking people into changing their minds or their behavior.
Active Learning
- Figuring out how to use new ideas or things.
Social Perceptiveness
- Understanding people's reactions.

Mathematical Reasoning
- Choosing the right type of math to solve a problem.
Response Orientation
- Quickly deciding if you should move your hand, foot, or other body part.
Written Comprehension
- Reading and understanding what is written.
Spatial Orientation
- Knowing where things are around you.
Fluency of Ideas
- Coming up with lots of ideas.
Number Facility
- Adding, subtracting, multiplying, or dividing.
Time Sharing
- Doing two or more things at the same time.
Inductive Reasoning
- Making general rules or coming up with answers from lots of detailed information.
Trunk Strength
- Using your lower back and stomach.
Sound Localization
- Noticing the direction that a sound came from.
Memorization
- Remembering words, numbers, pictures, or steps.
Gross Body Coordination
- Moving your arms, legs, and mid-section together while your whole body is moving.
Speech Recognition
- Recognizing spoken words.
Night Vision
- Seeing at night or under low light.
Explosive Strength
- Jumping, sprinting, or throwing something.
Written Expression
- Communicating by writing.
Selective Attention
- Paying attention to something without being distracted.
Oral Expression
- Communicating by speaking.
Visualization
- Imagining how something will look after it is moved around or changed.
Deductive Reasoning
- Using rules to solve problems.
Speech Clarity
- Speaking clearly.
Visual Color Discrimination
- Noticing the difference between colors, including shades and brightness.
Peripheral Vision
- Seeing something to your side when your are looking ahead.
Glare Sensitivity
- Seeing something even if there is a glare or very bright light.
Stamina
- Exercising for a long time without getting out of breath.
Information Ordering
- Ordering or arranging things.
Multilimb Coordination
- Using your arms and/or legs together while sitting, standing, or lying down.
Perceptual Speed
- Quickly comparing groups of letters, numbers, pictures, or other things.
Control Precision
- Quickly changing the controls of a machine, car, truck or boat.
Gross Body Equilibrium
- Keeping your balance or staying upright.
Near Vision
- Seeing details up close.
Far Vision
- Seeing details that are far away.
Static Strength
- Lifting, pushing, pulling, or carrying.
Speed of Limb Movement
- Quickly moving your arms and legs.
Dynamic Strength
- Exercising for a long time without your muscles getting tired.
Rate Control
- Changing when and how fast you move based on how something else is moving.
Reaction Time
- Quickly moving your hand, finger, or foot based on a sound, light, picture or other command.
Category Flexibility
- Grouping things in different ways.
Problem Sensitivity
- Noticing when problems happen.
Speed of Closure
- Quickly knowing what you are looking at.
Manual Dexterity
- Holding or moving items with your hands.
Oral Comprehension
- Listening and understanding what people say.
Originality
- Creating new and original ideas.
Arm-Hand Steadiness
- Keeping your arm or hand steady.
Wrist-Finger Speed
- Making fast, simple, repeated movements of your fingers, hands, and wrists.
Flexibility of Closure
- Seeing hidden patterns.
Finger Dexterity
- Putting together small parts with your fingers.
Dynamic Flexibility
- Quickly and repeatedly bending, stretching, twisting, or reaching out with your body, arms, and/or legs.
Auditory Attention
- Paying attention to one sound while there are other distracting sounds.
Depth Perception
- Deciding which thing is closer or farther away from you, or deciding how far away it is from you.
Hearing Sensitivity
- Telling the difference between sounds.
Extent Flexibility
- Bending, stretching, twisting, or reaching with your body, arms, and/or legs.

Psychology
- 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.
Sociology and Anthropology
- Knowledge of group behavior and dynamics, societal trends and influences, human migrations, ethnicity, cultures, and their history and origins.
Medicine and Dentistry
- Knowledge of the information and techniques needed to diagnose and treat human injuries, diseases, and deformities. This includes symptoms, treatment alternatives, drug properties and interactions, and preventive health-care measures.
Production and Processing
- Knowledge of raw materials, production processes, quality control, costs, and other techniques for maximizing the effective manufacture and distribution of goods.
Philosophy and Theology
- Knowledge of different philosophical systems and religions. This includes their basic principles, values, ethics, ways of thinking, customs, practices, and their impact on human culture.
Personnel and Human Resources
- Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
Communications and Media
- Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.
Computers and Electronics
- Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
Foreign Language
- Knowledge of the structure and content of a foreign (non-English) language including the meaning and spelling of words, rules of composition and grammar, and pronunciation.
Building and Construction
- Knowledge of materials, methods, and the tools involved in the construction or repair of houses, buildings, or other structures such as highways and roads.
Fine Arts
- Knowledge of the theory and techniques required to compose, produce, and perform works of music, dance, visual arts, drama, and sculpture.
Engineering and Technology
- Knowledge of the practical application of engineering science and technology. This includes applying principles, techniques, procedures, and equipment to the design and production of various goods and services.
Public Safety and Security
- Knowledge of relevant equipment, policies, procedures, and strategies to promote effective local, state, or national security operations for the protection of people, data, property, and institutions.
Mechanical
- Knowledge of machines and tools, including their designs, uses, repair, and maintenance.
Geography
- Knowledge of principles and methods for describing the features of land, sea, and air masses, including their physical characteristics, locations, interrelationships, and distribution of plant, animal, and human life.
Therapy and Counseling
- Knowledge of principles, methods, and procedures for diagnosis, treatment, and rehabilitation of physical and mental dysfunctions, and for career counseling and guidance.
Economics and Accounting
- Knowledge of economic and accounting principles and practices, the financial markets, banking, and the analysis and reporting of financial data.
Food Production
- Knowledge of techniques and equipment for planting, growing, and harvesting food products (both plant and animal) for consumption, including storage/handling techniques.
Law and Government
- Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
Mathematics
- Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
Design
- Knowledge of design techniques, tools, and principles involved in production of precision technical plans, blueprints, drawings, and models.
Chemistry
- Knowledge of the chemical composition, structure, and properties of substances and of the chemical processes and transformations that they undergo. This includes uses of chemicals and their interactions, danger signs, production techniques, and disposal methods.
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.
History and Archeology
- Knowledge of historical events and their causes, indicators, and effects on civilizations and cultures.
Education and Training
- Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
English Language
- Knowledge of the structure and content of the English language including the meaning and spelling of words, and rules of composition and grammar.
Administrative
- Knowledge of administrative and office procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and workplace terminology.
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.
Telecommunications
- Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.
Physics
- Knowledge and prediction of physical principles, laws, their interrelationships, and applications to understanding fluid, material, and atmospheric dynamics, and mechanical, electrical, atomic and sub-atomic structures and processes.
Customer and Personal Service
- Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
Transportation
- Knowledge of principles and methods for moving people or goods by air, rail, sea, or road, including the relative costs and benefits.
Biology
- Knowledge of plant and animal organisms, their tissues, cells, functions, interdependencies, and interactions with each other and the environment.

Education

Bachelor's degree

Work Experience

No work experience

Training

1 to 12 months on-the-job training

Education and Training Opportunities

Washington Annual Salary

77900/yr

Washington Hourly Wage

37.45/hr

Currently Employed

9,360

Yearly Projected Openings

800

Enterprising: People interested in this work like activities that include leading, making decisions, and business. They do well at jobs that need:

Initiative
Self-Confidence
Perseverance
Adaptability
Stress Tolerance
Social Orientation

Desktop calculator
Desktop computers
Laser fax machine
Notebook computers
Personal computers
Photocopiers
Scanners
Special purpose telephones
Tablet computers
Wearable computing devices

Accounting software
Analytical or scientific software
Business intelligence and data analysis software
Calendar and scheduling software
Compliance software
Customer relationship management CRM software
Data base user interface and query software
Desktop communications software
Development environment software
Document management software
Electronic mail software
Enterprise resource planning ERP software
Financial analysis software
Graphics or photo imaging software
Internet browser software
Object or component oriented development software
Office suite software
Operating system software
Presentation software
Project management software
Spreadsheet software
Transaction server software
Web page creation and editing software
Word processing software

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Securities, Commodities, and Financial Services Sales Agents

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