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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.

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    Work Activities

    Work Activities

    • Keep accurate records of transactions.
    • Complete sales order tickets and submit for processing of client-requested transactions.
    • Contact prospective customers to present information and explain available services.
    • 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.
    • Supply the latest price quotes on any security, as well as information on the activities or financial positions of the corporations issuing these securities.
    • Calculate costs for billings or commissions.
    • Relay buy or sell orders to securities exchanges or to firm trading departments.
    • Complete sales order tickets and submit for processing of client-requested transactions.
    • Discuss financial options with clients and keep them informed about transactions.
    • Track and analyze factors that affect price movement, such as trade policies, weather conditions, political developments, or supply and demand changes.
    • Contact prospective customers to present information and explain available services.
    • Offer advice on the purchase or sale of particular securities.
    • Determine customers' financial services needs and prepare proposals to sell services that address these needs.
    • Track and analyze factors that affect price movement, such as trade policies, weather conditions, political developments, or supply and demand changes.
    • Sell services or equipment, such as trusts, investments, or check processing services.
    • Supervise support staff and ensure proper execution of contracts.
    • Develop financial plans, based on analysis of clients' financial status.
    • Report all positions or trading results.
    • Identify opportunities or develop channels for purchase or sale of securities or commodities.
    • Make bids or offers to buy or sell securities.
    • 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.
    • Prepare financial reports to monitor client or corporate finances.
    • Explain stock market terms or trading practices to clients.
    • Supervise support staff and ensure proper execution of contracts.
    • Identify opportunities or develop channels for purchase or sale of securities or commodities.
    • Agree on buying or selling prices at optimal levels for clients.
    • Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.
    • Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.
    • Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.
    • Monitor markets or positions.
    • Devise trading, option, or hedge strategies.

    Skills

    • Active Learning

      Figuring out how to use new ideas or things.

    • Science

      Using scientific rules and strategies to solve problems.

    • Service Orientation

      Looking for ways to help people.

    • Operations Monitoring

      Watching gauges, dials, or display screens to make sure a machine is working.

    • Management of Personnel Resources

      Selecting and managing the best workers for a job.

    • Operations Analysis

      Figuring out what a product or service needs to be able to do.

    • Coordination

      Changing what is done based on other people's actions.

    • Equipment Selection

      Deciding what kind of tools and equipment are needed to do a job.

    • Repairing

      Repairing machines or systems using the right tools.

    • Management of Financial Resources

      Making spending decisions and keeping track of what is spent.

    • Equipment Maintenance

      Planning and doing the basic maintenance on equipment.

    • Negotiation

      Bringing people together to solve differences.

    • Active Listening

      Listening to others, not interrupting, and asking good questions.

    • Mathematics

      Using math to solve problems.

    • Monitoring

      Keeping track of how well people and/or groups are doing in order to make improvements.

    • Programming

      Writing computer programs.

    • Judgment and Decision Making

      Thinking about the pros and cons of different options and picking the best one.

    • Management of Material Resources

      Managing equipment and materials.

    • Technology Design

      Making equipment and technology useful for customers.

    • Learning Strategies

      Using the best training or teaching strategies for learning new things.

    • Writing

      Writing things for co-workers or customers.

    • Reading Comprehension

      Reading work-related information.

    • Installation

      Installing equipment, machines, wiring, or computer programs.

    • Instructing

      Teaching people how to do something.

    • Quality Control Analysis

      Testing how well a product or service works.

    • Troubleshooting

      Figuring out what is causing equipment, machines, wiring, or computer programs to not work.

    • Complex Problem Solving

      Noticing a problem and figuring out the best way to solve it.

    • Operation and Control

      Using equipment or systems.

    • Systems Analysis

      Figuring out how a system should work and how changes in the future will affect it.

    • Systems Evaluation

      Measuring how well a system is working and how to improve it.

    • Speaking

      Talking to others.

    • Persuasion

      Talking people into changing their minds or their behavior.

    • Critical Thinking

      Thinking about the pros and cons of different ways to solve a problem.

    • Social Perceptiveness

      Understanding people's reactions.

    • Time Management

      Managing your time and the time of other people.

    WorkKeys®

    Applied Math
    5
    Workplace Documents
    5
    Graphic Literacy
    5

    Abilities

    • Written Comprehension

      Reading and understanding what is written.

    • Glare Sensitivity

      Seeing something even if there is a glare or very bright light.

    • Category Flexibility

      Grouping things in different ways.

    • Originality

      Creating new and original ideas.

    • Written Expression

      Communicating by writing.

    • Night Vision

      Seeing at night or under low light.

    • Fluency of Ideas

      Coming up with lots of ideas.

    • Speed of Limb Movement

      Quickly moving your arms and legs.

    • Visualization

      Imagining how something will look after it is moved around or changed.

    • Finger Dexterity

      Putting together small parts with your fingers.

    • Response Orientation

      Quickly deciding if you should move your hand, foot, or other body part.

    • Speed of Closure

      Quickly knowing what you are looking at.

    • Selective Attention

      Paying attention to something without being distracted.

    • Control Precision

      Quickly changing the controls of a machine, car, truck or boat.

    • Manual Dexterity

      Holding or moving items with your hands.

    • Gross Body Coordination

      Moving your arms, legs, and mid-section together while your whole body is moving.

    • Near Vision

      Seeing details up close.

    • Visual Color Discrimination

      Noticing the difference between colors, including shades and brightness.

    • Speech Recognition

      Recognizing spoken words.

    • Reaction Time

      Quickly moving your hand, finger, or foot based on a sound, light, picture or other command.

    • Hearing Sensitivity

      Telling the difference between sounds.

    • Peripheral Vision

      Seeing something to your side when your are looking ahead.

    • Inductive Reasoning

      Making general rules or coming up with answers from lots of detailed information.

    • Oral Comprehension

      Listening and understanding what people say.

    • Information Ordering

      Ordering or arranging things.

    • Auditory Attention

      Paying attention to one sound while there are other distracting sounds.

    • Speech Clarity

      Speaking clearly.

    • Far Vision

      Seeing details that are far away.

    • Sound Localization

      Noticing the direction that a sound came from.

    • Stamina

      Exercising for a long time without getting out of breath.

    • Explosive Strength

      Jumping, sprinting, or throwing something.

    • Flexibility of Closure

      Seeing hidden patterns.

    • Multilimb Coordination

      Using your arms and/or legs together while sitting, standing, or lying down.

    • Trunk Strength

      Using your lower back and stomach.

    • Dynamic Strength

      Exercising for a long time without your muscles getting tired.

    • Gross Body Equilibrium

      Keeping your balance or staying upright.

    • Perceptual Speed

      Quickly comparing groups of letters, numbers, pictures, or other things.

    • Arm-Hand Steadiness

      Keeping your arm or hand steady.

    • Dynamic Flexibility

      Quickly and repeatedly bending, stretching, twisting, or reaching out with your body, arms, and/or legs.

    • Problem Sensitivity

      Noticing when problems happen.

    • Depth Perception

      Deciding which thing is closer or farther away from you, or deciding how far away it is from you.

    • Deductive Reasoning

      Using rules to solve problems.

    • Wrist-Finger Speed

      Making fast, simple, repeated movements of your fingers, hands, and wrists.

    • Number Facility

      Adding, subtracting, multiplying, or dividing.

    • Spatial Orientation

      Knowing where things are around you.

    • Rate Control

      Changing when and how fast you move based on how something else is moving.

    • Memorization

      Remembering words, numbers, pictures, or steps.

    • Time Sharing

      Doing two or more things at the same time.

    • Mathematical Reasoning

      Choosing the right type of math to solve a problem.

    • Static Strength

      Lifting, pushing, pulling, or carrying.

    • Oral Expression

      Communicating by speaking.

    • Extent Flexibility

      Bending, stretching, twisting, or reaching with your body, arms, and/or legs.

    Knowledge

    • Design

      Knowledge of design techniques, tools, and principles involved in production of precision technical plans, blueprints, drawings, and models.

    • Personnel and Human Resources

      Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.

    • Computers and Electronics

      Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.

    • Telecommunications

      Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.

    • Building and Construction

      Knowledge of materials, methods, and the tools involved in the construction or repair of houses, buildings, or other structures such as highways and roads.

    • Engineering and Technology

      Knowledge of the practical application of engineering science and technology. This includes applying principles, techniques, procedures, and equipment to the design and production of various goods and services.

    • Production and Processing

      Knowledge of raw materials, production processes, quality control, costs, and other techniques for maximizing the effective manufacture and distribution of goods.

    • Administrative

      Knowledge of administrative and office procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and workplace terminology.

    • Geography

      Knowledge of principles and methods for describing the features of land, sea, and air masses, including their physical characteristics, locations, interrelationships, and distribution of plant, animal, and human life.

    • 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.

    • Mathematics

      Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.

    • Transportation

      Knowledge of principles and methods for moving people or goods by air, rail, sea, or road, including the relative costs and benefits.

    • Foreign Language

      Knowledge of the structure and content of a foreign (non-English) language including the meaning and spelling of words, rules of composition and grammar, and pronunciation.

    • Chemistry

      Knowledge of the chemical composition, structure, and properties of substances and of the chemical processes and transformations that they undergo. This includes uses of chemicals and their interactions, danger signs, production techniques, and disposal methods.

    • 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.

    • Economics and Accounting

      Knowledge of economic and accounting principles and practices, the financial markets, banking, and the analysis and reporting of financial data.

    • Public Safety and Security

      Knowledge of relevant equipment, policies, procedures, and strategies to promote effective local, state, or national security operations for the protection of people, data, property, and institutions.

    • 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.

    • Medicine and Dentistry

      Knowledge of the information and techniques needed to diagnose and treat human injuries, diseases, and deformities. This includes symptoms, treatment alternatives, drug properties and interactions, and preventive health-care measures.

    • Philosophy and Theology

      Knowledge of different philosophical systems and religions. This includes their basic principles, values, ethics, ways of thinking, customs, practices, and their impact on human culture.

    • 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.

    • Law and Government

      Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.

    • Fine Arts

      Knowledge of the theory and techniques required to compose, produce, and perform works of music, dance, visual arts, drama, and sculpture.

    • English Language

      Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.

    • Mechanical

      Knowledge of machines and tools, including their designs, uses, repair, and maintenance.

    • History and Archeology

      Knowledge of historical events and their causes, indicators, and effects on civilizations and cultures.

    • 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.

    • Therapy and Counseling

      Knowledge of principles, methods, and procedures for diagnosis, treatment, and rehabilitation of physical and mental dysfunctions, and for career counseling and guidance.

    • Food Production

      Knowledge of techniques and equipment for planting, growing, and harvesting food products (both plant and animal) for consumption, including storage/handling techniques.

    • Physics

      Knowledge and prediction of physical principles, laws, their interrelationships, and applications to understanding fluid, material, and atmospheric dynamics, and mechanical, electrical, atomic and sub-atomic structures and processes.

    • Biology

      Knowledge of plant and animal organisms, their tissues, cells, functions, interdependencies, and interactions with each other and the environment.

    • Sociology and Anthropology

      Knowledge of group behavior and dynamics, societal trends and influences, human migrations, ethnicity, cultures, and their history and origins.

    • Communications and Media

      Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.

    Career Video

    Additional videos and more information available on CareerOneStop

    Pay

    • Ohio Annual Salary 61380/yr
    • Typical Salary
    • Ohio Hourly Wage 29.51/hr
    • Typical Hourly Wage

    Ohio Employment Trends

    • Currently Employed 16,340
    • Yearly Projected Openings 1420

    Typical Education

    Personality

    Enterprising: People interested in this work like activities that include leading, making decisions, and business.They do well at jobs that need:
    • Integrity
    • Dependability
    • Stress Tolerance
    • Attention to Detail
    • Initiative
    • Persistence

    Tools

    • Desktop calculator
    • Desktop computers
    • Laser fax machine
    • Notebook computers
    • Personal computers
    • Photocopiers
    • Scanners
    • Special purpose telephones
    • Tablet computers
    • Wearable computing devices

    Technology

    • Accounting software
    • Analytical or scientific software
    • Business intelligence and data analysis software
    • Calendar and scheduling software
    • Cloud-based data access and sharing software
    • Compliance software
    • Customer relationship management CRM software
    • Data base user interface and query software
    • Desktop communications software
    • Development environment software
    • Electronic mail software
    • Enterprise resource planning ERP software
    • Financial analysis software
    • Graphics or photo imaging software
    • Internet browser software
    • Object or component oriented development software
    • Office suite software
    • Operating system software
    • Presentation software
    • Project management software
    • Spreadsheet software
    • Transaction server software
    • Web page creation and editing software
    • Word processing software

    Tags

    • InDemand occupations are considered a priority by the state of Ohio.
    • Apprenticeships are available for this occupation. These programs can help you get hands-on experience and build your skills.
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