Securities/Commodities Sales Agent  What They Do

Just the Facts

Sales Agents, Securities and Commodities Career Video

Buys and sells securities in investment and trading firms and develops and implements financial plans for individuals, businesses, and organizations.

This career is part of the Finance cluster Securities and Investments pathway.

A person in this career:

  • Keeps accurate records of transactions.
  • Completes sales order tickets and submits for processing of client-requested transactions.
  • Interviews clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.
  • Discusses financial options with clients and keeps them informed about transactions.
  • Develops financial plans, based on analysis of clients' financial status.
  • Reviews all securities transactions to ensure accuracy of information and conformance to governing agency regulations.
  • Informs and advises concerned parties regarding fluctuations or securities transactions affecting plans or accounts.
  • Reviews 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.
  • Offers advice on the purchase or sale of particular securities.
  • Contacts prospective customers to determine customer needs, presents information, or explains available services.

Insider Info

Dig into the details and check out what people in this job have to say about their work.

Working Conditions and Physical Demands

People who do this job report that:

  • You would sit most of the time. There's some walking and standing. You may have to lift and carry things like books, papers or tools weighing 10 lbs. or less.
  • Work in this occupation requires being inside most of the time
  • Work in this occupation involves sitting more than one-third of the time

Working in this career involves (physical activities):

  • Seeing clearly up close
  • Speaking clearly enough to be able to be understood by others
  • Identifying and understanding the speech of another person

Work Hours and Travel

  • Regular working hours and limited travel

Specialty and Similar Careers

Careers that are more detailed or close to this career:

  • Account Executive -- Employed by an organization such as a bank, public relations firm, or advertising agency who is responsible for the business of a specific client.
  • Financial Consultant --
  • Financial Representative --
  • Investment Advisor --
  • Investment Consultant --
  • Investment Executive --
  • Investment Representative --
  • Investment Specialist -- Serves clients by obtaining and evaluating client financial situation; developing, recommending, and managing financial plans, services, and actions; developing and expanding business.
  • Registered Representative --
  • Stock Broker --