41-3031.00Apprenticeship

Securities, Commodities, & Financial Services Sales Agents

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.

Career Cluster:Financial Services
Job Family:Sales and Related
Job Zone:Job Zone Four: Considerable Preparation Needed
Industry:Finance and Insurance
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Technology Tools

C++LinuxMicrosoft AccessMicrosoft ExcelMicrosoft Office softwareMicrosoft OutlookMicrosoft PowerPointMicrosoft WindowsOracle PeopleSoftMicrosoft SharePointRSalesforce softwareMicrosoft Visual BasicMicrosoft WordOracle JavaPythonSAP softwareThe MathWorks MATLAB

Key Tasks

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

Skills

Active Listening
69%
Critical Thinking
69%
Monitoring
66%
Judgment and Decision Making
66%
Reading Comprehension
63%
Speaking
63%
Persuasion
63%
Active Learning
63%
Social Perceptiveness
60%
Writing
60%
Complex Problem Solving
60%
Systems Analysis
56%
Service Orientation
56%
Time Management
53%
Mathematics
53%
Management of Financial Resources
53%
Systems Evaluation
53%
Negotiation
50%
Instructing
47%
Coordination
47%
Management of Personnel Resources
44%
Learning Strategies
41%
Operations Analysis
25%
Management of Material Resources
25%
Programming
22%
Operations Monitoring
16%
Technology Design
16%
Quality Control Analysis
10%
Science
6%
Troubleshooting
3%
Installation
3%
Operation and Control
3%
Equipment Selection
3%
Equipment Maintenance
3%
Repairing
0%

Knowledge

Customer and Personal Service
83%
Economics and Accounting
73%
English Language
71%
Mathematics
68%
Sales and Marketing
68%
Computers and Electronics
63%
Administration and Management
61%
Law and Government
53%
Administrative
50%
Communications and Media
42%
Education and Training
41%
Personnel and Human Resources
41%
Psychology
40%
Telecommunications
34%
Production and Processing
26%
Transportation
26%
Public Safety and Security
22%
Sociology and Anthropology
21%
Geography
19%
Engineering and Technology
19%
History and Archeology
18%
Philosophy and Theology
17%
Foreign Language
14%
Therapy and Counseling
14%
Building and Construction
12%
Food Production
10%
Design
9%
Mechanical
9%
Biology
8%
Fine Arts
5%
Medicine and Dentistry
5%
Chemistry
5%
Physics
4%

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Abilities

Oral Comprehension
78%
Oral Expression
72%
Deductive Reasoning
69%
Speech Clarity
66%
Written Comprehension
66%
Problem Sensitivity
63%
Speech Recognition
63%
Written Expression
63%
Near Vision
60%
Inductive Reasoning
60%
Information Ordering
60%
Category Flexibility
56%
Fluency of Ideas
56%
Mathematical Reasoning
56%
Number Facility
53%
Originality
50%
Flexibility of Closure
47%
Selective Attention
47%
Speed of Closure
44%
Perceptual Speed
44%
Far Vision
38%
Memorization
38%
Time Sharing
35%
Auditory Attention
31%
Hearing Sensitivity
25%
Visualization
25%
Wrist-Finger Speed
22%
Trunk Strength
22%
Visual Color Discrimination
16%
Spatial Orientation
10%
Depth Perception
6%
Sound Localization
3%
Reaction Time
3%
Extent Flexibility
3%
Arm-Hand Steadiness
3%
Night Vision
3%
Peripheral Vision
3%
Multilimb Coordination
3%
Control Precision
3%
Glare Sensitivity
3%
Response Orientation
3%
Manual Dexterity
3%
Stamina
0%
Static Strength
0%
Finger Dexterity
0%
Explosive Strength
0%
Speed of Limb Movement
0%
Dynamic Strength
0%
Gross Body Equilibrium
0%
Rate Control
0%
Dynamic Flexibility
0%
Gross Body Coordination
0%

Work Activities

Working with Computers
86%
Getting Information
82%
Establishing and Maintaining Interpersonal Relationships
81%
Processing Information
77%
Making Decisions and Solving Problems
77%
Communicating with People Outside the Organization
75%
Updating and Using Relevant Knowledge
75%
Evaluating Information to Determine Compliance with Standards
74%
Analyzing Data or Information
73%
Organizing, Planning, and Prioritizing Work
72%
Communicating with Supervisors, Peers, or Subordinates
71%
Interpreting the Meaning of Information for Others
69%
Identifying Objects, Actions, and Events
68%
Selling or Influencing Others
68%
Documenting/Recording Information
66%
Performing for or Working Directly with the Public
62%
Judging the Qualities of Objects, Services, or People
60%
Resolving Conflicts and Negotiating with Others
57%
Monitoring Processes, Materials, or Surroundings
55%
Thinking Creatively
54%
Performing Administrative Activities
52%
Developing Objectives and Strategies
52%
Scheduling Work and Activities
50%
Providing Consultation and Advice to Others
49%
Estimating the Quantifiable Characteristics of Products, Events, or Information
48%
Coordinating the Work and Activities of Others
44%
Developing and Building Teams
44%
Coaching and Developing Others
42%
Training and Teaching Others
40%
Guiding, Directing, and Motivating Subordinates
39%
Monitoring and Controlling Resources
37%
Assisting and Caring for Others
26%
Staffing Organizational Units
17%
Performing General Physical Activities
16%
Inspecting Equipment, Structures, or Materials
15%
Controlling Machines and Processes
13%
Operating Vehicles, Mechanized Devices, or Equipment
13%
Handling and Moving Objects
7%
Repairing and Maintaining Electronic Equipment
6%
Repairing and Maintaining Mechanical Equipment
5%
Drafting, Laying Out, and Specifying Technical Devices, Parts, and Equipment
3%

Work Context

E-Mail

How frequently does your job require you to use E-mail?

99%

Telephone Conversations

How often do you have telephone conversations in this job?

98%

Face-to-Face Discussions with Individuals and Within Teams

How frequently does your job require face-to-face discussions with individuals and within teams?

93%

Contact With Others

How much does this job require the worker to be in contact with others (face-to-face, by telephone, or otherwise) in order to perform it?

92%

Importance of Being Exact or Accurate

How important is being very exact or highly accurate in performing this job?

89%

Determine Tasks, Priorities and Goals

How much freedom does the worker have in determining the tasks, priorities, or goals of the job?

86%

Freedom to Make Decisions

How much decision making freedom, without supervision, does the job offer?

83%

Frequency of Decision Making

How often is the worker required to make decisions that affect other people, the financial resources, and/or the image and reputation of the organization?

83%

Impact of Decisions on Co-workers or Company Results

What results do your decisions usually have on other people or the image or reputation or financial resources of your employer?

83%

Deal With External Customers or the Public in General

How important is it to deal with external customers (as in retail sales) or the public in general (as in police work) in this job?

82%

Spend Time Sitting

How much does this job require sitting?

82%

Indoors, Environmentally Controlled

How often does this job require working indoors in an environmentally controlled environment (like a warehouse with air conditioning)?

79%

Work With or Contribute to a Work Group or Team

How important is it to work with or contribute to a work group or team in this job?

78%

Level of Competition

To what extent does this job require the worker to compete or to be aware of competitive pressures?

73%

Time Pressure

How often does this job require the worker to meet strict deadlines?

72%

Duration of Typical Work Week

Number of hours typically worked in one week.

65%

Written Letters and Memos

How frequently does your job require written letters and memos?

59%

Consequence of Error

How serious would the result usually be if the worker made a mistake that was not easily correctable?

58%

Importance of Repeating Same Tasks

How important are continuous, repetitive, physical activities (like key entry) or mental activities (like checking entries in a ledger) to performing this job?

54%

Coordinate or Lead Others in Accomplishing Work Activities

How important is it to coordinate or lead others (not as a supervisor or team leader) in accomplishing work activities in this job?

52%

Physical Proximity

To what extent does this job require the worker to perform job tasks physically close to other people?

50%

Work Outcomes and Results of Other Workers

How responsible is the worker for work outcomes and results of other workers?

50%

Conflict Situations

How frequently are there conflict situations the employee has to face in this job?

48%

Dealing With Unpleasant, Angry, or Discourteous People

How frequently does the worker have to deal with unpleasant, angry, or discourteous individuals as part of the job requirements?

45%

Degree of Automation

How automated is the job?

40%

Spend Time Using Your Hands to Handle, Control, or Feel Objects, Tools, or Controls

How much does this job require using your hands to handle, control, or feel objects, tools or controls?

33%

Public Speaking

How frequently does your job require public speaking (one speaker with an audience)?

32%

Spend Time Making Repetitive Motions

How much does this job require making repetitive motions?

30%

Exposed to Sounds, Noise Levels that are Distracting or Uncomfortable

How often does this job require working exposed to sounds and noise levels that are distracting or uncomfortable?

29%

Health and Safety of Other Workers

How much responsibility is there for the health and safety of others in this job?

28%

In an Enclosed Vehicle or Operate Enclosed Equipment

How often does this job require working in a closed vehicle or operate enclosed equipment (like a car)?

24%

Spend Time Standing

How much does this job require standing?

24%

Indoors, Not Environmentally Controlled

How often does this job require working in an environment that is not environmentally controlled (like a warehouse without air conditioning)?

14%

Spend Time Walking or Running

How much does this job require walking or running?

14%

Outdoors, Under Cover

How often does this job require working outdoors, under cover (like in an open shed)?

7%

Work Schedules

How regular are the work schedules for this job?

7%

Dealing with Violent or Physically Aggressive People

How frequently does this job require the worker to deal with physical aggression of violent individuals?

6%

Pace Determined by Speed of Equipment

How important is it to this job that the pace is determined by the speed of equipment or machinery? (This does not refer to keeping busy at all times on this job.)

6%

Exposed to Very Hot or Cold Temperatures

How often does this job require working in very hot (above 90 F degrees) or very cold (below 32 F degrees) temperatures?

5%

Outdoors, Exposed to All Weather Conditions

How often does this job require working outdoors, exposed to all weather conditions?

5%

Spend Time Bending or Twisting Your Body

How much does this job require bending or twisting your body?

5%

Exposed to Contaminants

How often does this job require working exposed to contaminants (such as pollutants, gases, dust or odors)?

4%

Exposed to Extremely Bright or Inadequate Lighting Conditions

How often does this job require working in extremely bright or inadequate lighting conditions?

4%

Spend Time Kneeling, Crouching, Stooping, or Crawling

How much does this job require kneeling, crouching, stooping or crawling?

3%

Exposed to Disease or Infections

How often does this job require exposure to disease/infections?

1%

Exposed to High Places

How often does this job require exposure to high places?

1%

Exposed to Minor Burns, Cuts, Bites, or Stings

How often does this job require exposure to minor burns, cuts, bites, or stings?

1%

Spend Time Climbing Ladders, Scaffolds, or Poles

How much does this job require climbing ladders, scaffolds, poles, etc.?

1%

Wear Common Protective or Safety Equipment such as Safety Shoes, Glasses, Gloves, Hearing Protection, Hard Hats, or Life Jackets

How often does this job require wearing common protective or safety equipment such as safety shoes, glasses, gloves, hearing protection, hard hats or life-jackets?

1%

Exposed to Cramped Work Space, Awkward Positions

How often does this job require working in cramped work spaces that requires getting into awkward positions?

0%

Exposed to Hazardous Conditions

How often does this job require exposure to hazardous conditions?

0%

Exposed to Hazardous Equipment

How often does this job require exposure to hazardous equipment?

0%

Exposed to Radiation

How often does this job require exposure to radiation?

0%

Exposed to Whole Body Vibration

How often does this job require exposure to whole body vibration (like operating a jackhammer or earth moving equipment)?

0%

In an Open Vehicle or Operating Equipment

How often does this job require working in an open vehicle or operating equipment (like a tractor)?

0%

Spend Time Keeping or Regaining Balance

How much does this job require keeping or regaining your balance?

0%

Wear Specialized Protective or Safety Equipment such as Breathing Apparatus, Safety Harness, Full Protection Suits, or Radiation Protection

How often does this job require wearing specialized protective or safety equipment such as breathing apparatus, safety harness, full protection suits, or radiation protection?

0%

Education

Bachelor's degree

55%

High school diploma or equivalent

27%

Some college, no degree

6%

Interests

Enterprising

Work involves managing, negotiating, marketing, or selling, typically in a business setting, or leading or advising people in political and legal situations. Enterprising occupations are often associated with business initiatives, sales, marketing/advertis

85

Conventional

Work involves following procedures and regulations to organize information or data, typically in a business setting. Conventional occupations are often associated with office work, accounting, mathematics/statistics, information technology, finance, or hum

71

Social

Work involves helping, teaching, advising, assisting, or providing service to others. Social occupations are often associated with social, health care, personal service, teaching/education, or religious activities.

35

Investigative

Work involves studying and researching non-living objects, living organisms, disease or other forms of impairment, or human behavior. Investigative occupations are often associated with physical, life, medical, or social sciences, and can be found in the f

26

Artistic

Work involves creating original visual artwork, performances, written works, food, or music for a variety of media, or applying artistic principles to the design of various objects and materials. Artistic occupations are often associated with visual arts,

5

Realistic

Work involves designing, building, or repairing of equipment, materials, or structures, engaging in physical activity, or working outdoors. Realistic occupations are often associated with engineering, mechanics and electronics, construction, woodworking, t

4

Work Styles

Integrity
96%
Attention to Detail
89%
Dependability
85%
Social Orientation
82%
Stress Tolerance
82%
Self-Confidence
81%
Achievement Orientation
79%
Perseverance
75%
Adaptability
68%
Initiative
68%
Intellectual Curiosity
68%
Self-Control
66%
Tolerance for Ambiguity
66%
Leadership Orientation
51%
Optimism
43%
Innovation
42%
Empathy
36%
Cautiousness
34%
Cooperation
29%
Sincerity
24%

Work Values

Achievement
70%
Working Conditions
70%
Independence
68%
Relationships
63%
Recognition
57%
Support
57%

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