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Details for Sales Agents, Securities and Commodities


Buy and sell securities in investment and trading firms and develop and implement financial plans for individuals, businesses, and organizations.


  • Complete sales order tickets and submit for processing of client requested transactions.
  • Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives.
  • Record transactions accurately, and keep clients informed about transactions.
  • Develop financial plans based on analysis of clients' financial status, and discuss financial options with clients.
  • Review all securities transactions to ensure accuracy of information and that trades conform to regulations of governing agencies.
  • Offer advice on the purchase or sale of particular securities.
  • Relay buy or sell orders to securities exchanges or to firm trading departments.
  • Identify potential clients, using advertising campaigns, mailing lists, and personal contacts.
  • Review financial periodicals, stock and bond reports, business publications and other material in order to identify potential investments for clients and to keep abreast of trends affecting market conditions.
  • Contact prospective customers to determine customer needs, present information, and explain available services.
  • Prepare documents needed to implement plans selected by clients.
  • Analyze market conditions in order to determine optimum times to execute securities transactions.
  • Explain stock market terms and trading practices to clients.
  • Inform and advise concerned parties regarding fluctuations and securities transactions affecting plans or accounts.
  • Calculate costs for billings and commissions purposes.
  • Supply the latest price quotes on any security, as well as information on the activities and financial positions of the corporations issuing these securities.
  • Prepare financial reports to monitor client or corporate finances.
  • Read corporate reports and calculate ratios to determine best prospects for profit on stock purchases and to monitor client accounts.


  • Enterprising - Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.
  • Conventional - Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.

Education, Training, Experience

  • Education - Most of these occupations require a four-year bachelor's degree, but some do not.
  • Training - Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.
  • Experience - A considerable amount of work-related skill, knowledge, or experience is needed for these occupations. For example, an accountant must complete four years of college and work for several years in accounting to be considered qualified.


  • Law and Government - Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
  • 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.
  • 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, rules of composition, and grammar.
  • 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.
  • Mathematics - Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
  • Economics and Accounting - Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
  • 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.
  • Computers and Electronics - Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
  • 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.


  • Reading Comprehension - Understanding written sentences and paragraphs in work related documents.
  • Active Listening - Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
  • Writing - Communicating effectively in writing as appropriate for the needs of the audience.
  • Speaking - Talking to others to convey information effectively.
  • Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
  • Active Learning - Understanding the implications of new information for both current and future problem-solving and decision-making.
  • Monitoring - Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
  • Social Perceptiveness - Being aware of others' reactions and understanding why they react as they do.
  • Persuasion - Persuading others to change their minds or behavior.
  • Negotiation - Bringing others together and trying to reconcile differences.
  • Service Orientation - Actively looking for ways to help people.
  • Complex Problem Solving - Identifying complex problems and reviewing related information to develop and evaluate options and implement solutions.
  • Judgment and Decision Making - Considering the relative costs and benefits of potential actions to choose the most appropriate one.
  • Systems Analysis - Determining how a system should work and how changes in conditions, operations, and the environment will affect outcomes.
  • Systems Evaluation - Identifying measures or indicators of system performance and the actions needed to improve or correct performance, relative to the goals of the system.

Related Careers

  • Market Research Analysts
  • Purchasing Agents and Buyers, Farm Products
  • Purchasing Managers
  • Real Estate Sales Agents
  • Sales Agents, Financial Services
  • Sales Representatives, Wholesale and Manufacturing, Except Technical and Scientific Products
  • Wholesale and Retail Buyers, Except Farm Products
Wages for this career
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