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Occupation AtlasSecurities, Commodities, and Financial Services Sales Agents

O*NET · 41-3031.00

Securities, Commodities, and 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.

Also called Account Administrator · Account Manager · Account Specialist · Bank and Savings Securities Trader · Banker · Banker Associate · Block Trader · Bond Broker
93 more

Bond Trader · Branch Banker · Branch Relationship Banker · Branch Sales Representative · Branch Service Representative · Broker · Business Banker · Business Banking Relationship Manager · Buyer · CFA · Chartered Financial Analyst (CFA) · Client Administrator · Client Service Associate · Commodities Broker · Commodities Trader · Customer Agent · Day Trader · Dealer · Energy Trader · Equities Trader · Equity Trader · Field Marketing Representative · Finance Specialist · Financial Advisor · Financial Consultant · Financial Report Service Sales Agent · Financial Representative · Financial Sales Advisor · Financial Services Agent · Financial Services Associate · Financial Services Representative · Financial Services Sales Representative · Financial Specialist · Fiscal Specialist · Floor Broker · Floor Trader · Flow Trader · Foreign Exchange Trader (Forex Trader) · Forex Trader · Futures Trader · Grain Broker · Hedge Fund Trader · Hybrid Derivatives Trader · Inside Sales Representative · Insurance and Financial Services Agent · Investment Banker · Investment Consultant · Investment Officer · Investment Representative · Investments Advisor · Investments Manager · Investments Specialist · Loan Broker · Market Maker · Market Operator · Money Manager · Municipal Bonds Trader · Mutual Funds Agent · Mutual Funds Sales Agent · Online Trader · Options Trader · Outside Sales Representative · Personal Banker · Personal Banker Associate · Premier Banker · Private Banker · Private Client Banker · Proprietary Trader · Quantitative Trader · Real-Time Energy Trader · Real-Time Trader · Registered Representative · Relationship Banker · Retail Personal Banker · Sales Advisor · Sales Associate · Sales Consultant · Sales Professional · Sales Representative · Securities Adviser · Securities Lending Trader · Securities Trader · Select Banker · Services Investment Specialist · Speculator · Stock Associate · Stock Broker · Stock Speculator · Stock Trader · Trader · Trading Specialist · Trust Officer · Wholesale Account Executive

Job Zone 4 — Considerable Preparation NeededHolland code ECS35 skills on file

Compare with another occupationCompare with Accountants and Auditors

Job Zone

  1. 1
  2. 2
  3. 3
  4. 4
  5. 5

Zone 4: Considerable Preparation Needed

Considerable preparation. Usually a bachelor's degree plus several years of work-related experience, knowledge, or training.

Job Zone is O*NET's rating of how much education, experience and training an occupation typically needs — a property of the work, not of anyone doing it.

Occupational interest profile

ECSEnterprising · Conventional · Social — the three strongest interests, in order

  • E Enterprising6.08
  • C Conventional5.27
  • S Social3.07
  • I Investigative2.53
  • A Artistic1.29
  • R Realistic1.26

RIASEC (Holland) interests on O*NET's 0–7 scale: what the work draws on, not what any individual prefers. Hover a row for what each dimension means.

Education and experience

The education level respondents say the job requires, and the most common answer for experience and training.

  • High School Diploma or the equivalent27%
  • Post-Secondary Certificate1%
  • Some College Courses6%
  • Associate's Degree or other 2-year degree1%
  • Bachelor's Degree55%
  • Post-Baccalaureate Certificate6%
  • Master's Degree4%
Related work experience
Over 2 years, up to and including 4 years (33%)
On-site or in-plant training
Over 3 months, up to and including 6 months (21%)
On-the-job training
Over 3 months, up to and including 6 months (22%)

Typically associated skills

All 35 O*NET skills, most important first. Importance (1–5) says how much a skill matters here; level (0–7) says how much of it the work calls for, with O*NET's example of a nearby level. Neither is a proficiency rating of a person.

  • Active Listeningbasic3.83.9Level 4 looks like: Answer inquiries regarding credit references
  • Critical Thinkingbasic3.83.8Level 4 looks like: Evaluate customer complaints and determine appropriate responses
  • Monitoringbasic3.63.8Level 4 looks like: Monitor a meeting and revise the agenda to ensure important topics are discussed
  • Judgment and Decision Making3.63.5Level 4 looks like: Evaluate a loan application for degree of risk
  • Active Learningbasic3.53.8Level 4 looks like: Determine the impact of new menu changes on a restaurant's purchasing requirements
  • Reading Comprehensionbasic3.53.8Level 4 looks like: Understand an email from management describing new personnel policies
  • Speakingbasic3.53.8Level 4 looks like: Interview applicants to obtain personal and work history
  • Persuasion3.53.6Level 4 looks like: Convince a supervisor to purchase new office equipment
  • Complex Problem Solving3.43.5Level 4 looks like: Redesign a floor layout to take advantage of new manufacturing techniques
  • Writingbasic3.43.5Level 4 looks like: Write an email to staff outlining new directives
  • Social Perceptiveness3.43.3Level 4 looks like: Be aware of how a coworker's promotion will affect a work group
  • Service Orientation3.33.6Level 4 looks like: Make flight reservations for customers using an online booking site
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Tasks

22 core · 4 supplemental · 4 not yet rated

What people in this occupation do, as O*NET records it, core tasks first by importance (1–5).

  1. Make bids or offers to buy or sell securities.4.8
  2. Monitor markets or positions.4.8
  3. Agree on buying or selling prices at optimal levels for clients.4.7
  4. Keep accurate records of transactions.4.6
  5. Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.4.5
  6. Complete sales order tickets and submit for processing of client-requested transactions.4.5
  7. Report all positions or trading results.4.5
  8. Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.4.4
  9. Discuss financial options with clients and keep them informed about transactions.4.4
  10. Identify opportunities or develop channels for purchase or sale of securities or commodities.4.3
  11. Develop financial plans, based on analysis of clients' financial status.4.3
  12. Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.4.3
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  1. Determine customers' financial services needs and prepare proposals to sell services that address these needs.4.2
  2. Devise trading, option, or hedge strategies.4.2
  3. Track and analyze factors that affect price movement, such as trade policies, weather conditions, political developments, or supply and demand changes.4.1
  4. Inform other traders, managers, or customers of market conditions, including volume, price, competition, or dynamics.4.1
  5. Offer advice on the purchase or sale of particular securities.4.1
  6. Contact prospective customers to present information and explain available services.3.9
  7. Explain stock market terms or trading practices to clients.3.9
  8. Calculate costs for billings or commissions.3.8
  9. Prepare financial reports to monitor client or corporate finances.3.8
  10. Supply the latest price quotes on any security, as well as information on the activities or financial positions of the corporations issuing these securities.3.8
  11. Supervise support staff and ensure proper execution of contracts.4.2
  12. Relay buy or sell orders to securities exchanges or to firm trading departments.4.0
  13. Evaluate costs and revenue of agreements to determine continued profitability.3.7
  14. Sell services or equipment, such as trusts, investments, or check processing services.3.3
  15. Negotiate prices or contracts for securities or commodities sales or purchases.
  16. Prepare and send requests for price quotations to all companies in a particular market.
  17. Price securities or commodities based on market conditions.
  18. Purchase or sell financial derivatives for customers.

Knowledge

Bodies of knowledge the work draws on.

  • Customer and Personal Service4.34.9Level 4 looks like: Be responsible for 10 children at daycare
  • Economics and Accounting3.94.2Level 4 looks like: Develop financial investment programs for individual clients
  • English Language3.83.9Level 4 looks like: Edit an article for a news website
  • Mathematics3.74.3Level 4 looks like: Analyze data to determine areas with the highest sales
  • Sales and Marketing3.74.4Level 4 looks like: Introduce clients to a new line of products
  • Computers and Electronics3.54.2Level 4 looks like: Use a computer to format a document
  • Administration and Management3.43.9Level 4 looks like: Monitor progress of a project to ensure timely completion
  • Law and Government3.13.1Level 4 looks like: Prepare documents and title papers for the purchase of a new house
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  • Administrative3.03.7Level 4 looks like: Type 30 words per minute
  • Communications and Media2.72.7
  • Education and Training2.73.1Level 4 looks like: Lead a quality improvement seminar
  • Personnel and Human Resources2.62.8
  • Psychology2.62.5Level 1 looks like: Monitor several children on a playground
  • Telecommunications2.41.4Level 1 looks like: Send an email
  • Production and Processing2.01.7Level 1 looks like: Put a computer back into its packing materials
  • Transportation2.01.6Level 1 looks like: Ride a train to work
  • Public Safety and Security1.91.3Level 1 looks like: Use a seatbelt
  • Engineering and Technology1.81.1Level 1 looks like: Install a door lock
  • Geography1.81.6Level 1 looks like: Know the capital of the United States
  • Sociology and Anthropology1.81.6Level 1 looks like: Identify two cultures in a story as being different
  • History and Archeology1.71.4Level 1 looks like: Take a class in US history
  • Philosophy and Theology1.71.5Level 1 looks like: Watch a TV show on family values
  • Therapy and Counseling1.61.1Level 1 looks like: Put ice on a sprained ankle
  • Building and Construction1.50.8Level 1 looks like: Choose the proper type of wood for adding a deck onto a house
  • Foreign Language1.50.8Level 1 looks like: Say "please" and "thank you" in a foreign language
  • Food Production1.4—
  • Mechanical1.40.7Level 1 looks like: Replace the filters in a furnace
  • Biology1.3—
  • Design1.3—
  • Chemistry1.2—
  • Fine Arts1.2—
  • Medicine and Dentistry1.2—
  • Physics1.1—

Abilities

Enduring capacities the work calls for.

  • Oral Comprehension4.13.9Level 4 looks like: Understand a coach's oral instructions for a sport
  • Oral Expression3.94.1Level 4 looks like: Give instructions to a lost motorist
  • Deductive Reasoning3.84.3Level 5 looks like: Decide what factors to consider in selecting stocks
  • Speech Clarity3.63.5Level 4 looks like: Make stadium-wide announcements during a sporting event
  • Written Comprehension3.64.1Level 4 looks like: Understand an apartment lease
  • Problem Sensitivity3.53.8Level 4 looks like: Notice from a subtle difference in a client's mood that something is bothering them
  • Speech Recognition3.54.0Level 4 looks like: Identify a former customer's voice over the phone
  • Written Expression3.53.6Level 4 looks like: Write a job recommendation for a subordinate
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  • Inductive Reasoning3.43.5Level 4 looks like: Determine the prime suspect based on crime scene evidence
  • Information Ordering3.43.4Level 2 looks like: Follow the correct steps to make change
  • Near Vision3.43.6
  • Category Flexibility3.33.3Level 3 looks like: Classify flowers according to size, color, and smell
  • Fluency of Ideas3.33.8Level 4 looks like: Think of as many ideas as possible for the name of a new company
  • Mathematical Reasoning3.33.4Level 4 looks like: Decide how to calculate profits to determine the amounts of yearly bonuses
  • Number Facility3.13.6Level 3 looks like: Calculate a discounted price
  • Originality3.03.0Level 2 looks like: Use a credit card to open a locked door
  • Flexibility of Closure2.93.1Level 4 looks like: Look for a golf ball in tall grass
  • Selective Attention2.92.6Level 2 looks like: Answer a business call with coworkers talking nearby
  • Perceptual Speed2.83.1Level 4 looks like: Read five pressure indicators in 10 seconds to make sure each is within safe limits
  • Speed of Closure2.83.4Level 3 looks like: Recognize a song after hearing only the first few notes
  • Far Vision2.52.6Level 2 looks like: Read a roadside billboard
  • Memorization2.52.8
  • Time Sharing2.42.8Level 3 looks like: Watch street signs while driving at 30 miles an hour
  • Auditory Attention2.32.0Level 2 looks like: Listen to a lecture while people nearby are talking
  • Hearing Sensitivity2.01.5Level 2 looks like: Notice a doorbell ringing
  • Visualization2.02.3Level 2 looks like: Imagine how to place paper in a printer so that the letterhead comes out on top
  • Trunk Strength1.91.6Level 2 looks like: Sit up in an office chair
  • Wrist-Finger Speed1.91.6Level 2 looks like: Use a screwdriver to twist in a screw
  • Visual Color Discrimination1.61.1Level 1 looks like: Separate laundry into colors and whites
  • Spatial Orientation1.4—
  • Depth Perception1.3—
  • Arm-Hand Steadiness1.1—
  • Control Precision1.1—
  • Extent Flexibility1.1—
  • Glare Sensitivity1.1—
  • Manual Dexterity1.1—
  • Multilimb Coordination1.1—
  • Night Vision1.1—
  • Peripheral Vision1.1—
  • Reaction Time1.1—
  • Response Orientation1.1—
  • Sound Localization1.1—
  • Dynamic Flexibility1.0—
  • Dynamic Strength1.0—
  • Explosive Strength1.0—
  • Finger Dexterity1.0—
  • Gross Body Coordination1.0—
  • Gross Body Equilibrium1.0—
  • Rate Control1.0—
  • Speed of Limb Movement1.0—
  • Stamina1.0—
  • Static Strength1.0—

Work activities

Kinds of activity the work is made of.

  • Working with Computers4.43.7Level 4 looks like: Write software for keeping track of parts in inventory
  • Getting Information4.34.4Level 4 looks like: Review a budget
  • Establishing and Maintaining Interpersonal Relationships4.25.0Level 4 looks like: Maintain good working relationships with almost all coworkers and clients
  • Making Decisions and Solving Problems4.14.4Level 4 looks like: Select the location for a major retail store
  • Processing Information4.14.5Level 4 looks like: Calculate the adjustments for insurance claims
  • Communicating with People Outside the Organization4.04.3Level 4 looks like: Present information to potential clients about available services
  • Evaluating Information to Determine Compliance with Standards4.04.3Level 4 looks like: Evaluate a complicated insurance claim for compliance with policy terms
  • Updating and Using Relevant Knowledge4.04.9Level 4 looks like: Keep current on changes in maintenance procedures for repairing sports cars
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  • Analyzing Data or Information3.94.5Level 4 looks like: Determine the interest cost to finance a new building
  • Communicating with Supervisors, Peers, or Subordinates3.94.4Level 4 looks like: Report the results of a sales meeting to a supervisor
  • Organizing, Planning, and Prioritizing Work3.94.8Level 4 looks like: Plan and adjust a personal to-do list according to changing demands
  • Interpreting the Meaning of Information for Others3.83.6Level 4 looks like: Interpret how foreign tax laws apply to U.S. exports
  • Identifying Objects, Actions, and Events3.74.1Level 4 looks like: Judge the suitability of food products for an event
  • Selling or Influencing Others3.74.4Level 4 looks like: Make a sales pitch to convince others to buy a product
  • Documenting/Recording Information3.63.6Level 4 looks like: Document the results of a crime scene investigation
  • Performing for or Working Directly with the Public3.53.6Level 4 looks like: Sell shoes in a crowded shoe store
  • Judging the Qualities of Objects, Services, or People3.44.1Level 4 looks like: Determine the value of property lost in a fire
  • Resolving Conflicts and Negotiating with Others3.34.0Level 4 looks like: Get two subordinates to agree about vacation schedules
  • Monitoring Processes, Materials, or Surroundings3.23.5Level 4 looks like: Test electrical circuits
  • Thinking Creatively3.23.5Level 4 looks like: Adapt popular music for a high school marching band
  • Developing Objectives and Strategies3.13.6Level 4 looks like: Develop the plan to complete the merger of two organizations over a 3-year period
  • Performing Administrative Activities3.13.5Level 4 looks like: Complete tax forms for a small business
  • Providing Consultation and Advice to Others3.03.4Level 4 looks like: Recommend a new software package to increase operational efficiency
  • Scheduling Work and Activities3.03.3Level 4 looks like: Prepare the work schedule for salesclerks in a large retail store
  • Estimating the Quantifiable Characteristics of Products, Events, or Information2.92.7
  • Coordinating the Work and Activities of Others2.83.1Level 4 looks like: Organize the cleanup crew after a major sporting event
  • Coaching and Developing Others2.73.1Level 4 looks like: Provide on-the-job training for administrative workers
  • Developing and Building Teams2.72.5Level 1 looks like: Encourage two coworkers to stick with a tough assignment
  • Guiding, Directing, and Motivating Subordinates2.62.6
  • Training and Teaching Others2.62.9
  • Monitoring and Controlling Resources2.52.3Level 1 looks like: Work as a server responsible for keeping track of utensils
  • Assisting and Caring for Others2.01.8Level 1 looks like: Help a coworker complete an assignment
  • Staffing Organizational Units1.71.4Level 1 looks like: Work in a position that has minimal staffing requirements
  • Inspecting Equipment, Structures, or Materials1.61.1Level 1 looks like: Check that doors to building are locked
  • Performing General Physical Activities1.60.9Level 1 looks like: Walk between workstations in a small office
  • Controlling Machines and Processes1.51.0Level 1 looks like: Operate a cash register
  • Operating Vehicles, Mechanized Devices, or Equipment1.50.7Level 1 looks like: Drive a car
  • Handling and Moving Objects1.3—
  • Repairing and Maintaining Electronic Equipment1.2—
  • Repairing and Maintaining Mechanical Equipment1.2—
  • Drafting, Laying Out, and Specifying Technical Devices, Parts, and Equipment1.1—

Work context

The conditions most characteristic of the work, on O*NET's 1–5 context scale.

  • E-Mail5.0
  • Telephone Conversations4.9
  • Contact With Others4.7
  • Face-to-Face Discussions with Individuals and Within Teams4.7
  • Importance of Being Exact or Accurate4.6
  • Determine Tasks, Priorities and Goals4.4
  • Deal With External Customers or the Public in General4.3
  • Freedom to Make Decisions4.3
  • Frequency of Decision Making4.3
  • Impact of Decisions on Co-workers or Company Results4.3

Technology

69 tools

Software used in this work. In demand: among the tools job postings for this occupation name most. Hot: often named in job postings across the economy.

In demand (2)

  • Microsoft Excelhot
  • Microsoft Office softwarehot

Hot (17; 2 more marked hot above)

  • C++
  • Linux
  • Microsoft Access
  • Microsoft Outlook
  • Microsoft PowerPoint
  • Microsoft SharePoint
  • Microsoft Visual Basic
  • Microsoft Windows
  • Microsoft Word
  • Oracle Java
  • Oracle PeopleSoft
  • Python
  • R
  • Salesforce software
  • SAP software
  • The MathWorks MATLAB
  • UNIX
Other tools (50)
  • ADP/Vantra VOLTS
  • AIQ Systems TradingExpert Pro
  • AnalyzerXL
  • Aspen Graphics Technical Analysis Software
  • Bloomberg Professional
  • BondDesk Group Trader WorkStation
  • CableSoft LiveWire Trader
  • Calypso Technology Calypso Asset Management
  • Charles River Development Charles River Investment Management System
  • Citi The Yield Book Calculator
  • CQG Integrated Client
  • CSI Complex Systems ClientTrade
  • Customer information control system CICS
  • Database management software
  • Derivicom FinOptions XL
  • Email software
  • FileMaker Pro
  • Financial needs analysis software
  • Fixed income alternative trading systems ATS
  • Fund accounting software
  • FundCount Web
  • Graphics software
  • IBM Cognos Impromptu
  • IBM Notes
  • Imagine Software Imagine Trading System
  • Knight BondPoint
  • Leading Market Technologies EXPO
  • LinkedIn
  • Microsoft Dynamics
  • Microsoft Dynamics GP
  • Multiple trading transaction systems
  • Oracle E-Business Suite Financials
  • Oracle Hyperion
  • Oracle PeopleSoft Financials
  • Oracle Siebel CRM
  • Realm Business Solutions INSIGHT for ARGUS
  • Redi Enterprise Development Redi ERM
  • Regulatory agency compliance software
  • Sage 50 Accounting
  • Sales analysis software
  • Scheduling software
  • SunGard MicroHedge
  • Telvent DTN ProphetX
  • Thomson Reuters Tradeweb
  • Tradeweb Markets Tradeweb
  • Trading Blox
  • Triple Point Commodity XL
  • Web browser software
  • Web-based information systems
  • Web-based trading systems

Related occupations

O*NET's own list of the occupations most related to this one, closest first.

  1. Financial and Investment Analysts
  2. Personal Financial Advisors
  3. Investment Fund Managers
  4. Brokerage Clerks
  5. Financial Risk Specialists
  6. Loan Officers
  7. New Accounts Clerks
  8. Wholesale and Retail Buyers, Except Farm Products
  9. Credit Analysts
  10. Real Estate Brokers

ESCO equivalents

From the official ESCO–O*NET crosswalk, strongest match first. A broader occupation takes in this one; a narrower one is a part of it.

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This page includes information from the O*NET 31.0 Database by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA), used under the CC BY 4.0 license; O*NET® is a trademark of USDOL/ETA. ESCO occupations and skills are from the European Commission's ESCO classification, and the occupation crosswalk is the official ESCO–O*NET mapping by the ESCO Secretariat with USDOL/ETA. This service uses the ESCO classification of the European Commission. BlissPoint Analytics has modified all or some of this information: skill, task and descriptor ratings are rounded to one decimal, and ESCO occupations show Job Zone and interests copied from a crosswalked O*NET occupation. USDOL/ETA has not approved, endorsed, or tested these modifications.