Securities Broker

A Securities Broker buys and sells stocks, bonds, treasury bills, and other investment packages. Only Brokers can make transactions on the stock exchange. That means investors need your services. It is your job as a Securities Broker to develop and retain a list of clients that trust you and respect your advice. To ensure that it is your number in speed dial, instead of the Securities Broker in the next desk over, you need an acute understanding of the financial world, a customer-oriented attitude, and a keen attention to detail.

Since you sell bank and business products, you spend significant time researching product specifics. For example, for stocks, you assess the performance history including dividend payouts and fees. Over time, you develop categories of investments that you can then market to investors. Each of these portfolios has varying degrees of risk and historical payout. When you evaluate an investor’s needs, you have the information at hand to offer them a personalized investment plan.

Although you advise and sell goods to the investor, you don’t work for them. You earn commissions from the investments. That means that the better the investment performs, the more you are paid. You do, however, want to satisfy the client to ensure they are happy with a product’s performance—and yours.

In addition to finely-tuned knowledge about individual investments and regulations, you also have a strong familiarity with tax laws. After all, taxes have a huge impact on what, how, and how much, the client invests.