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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

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

    Skills

    • Active Listening

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

    • Repairing

      Repairing machines or systems using the right tools.

    • Monitoring

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

    • Operations Analysis

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

    • Equipment Maintenance

      Planning and doing the basic maintenance on equipment.

    • Operations Monitoring

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

    • Persuasion

      Talking people into changing their minds or their behavior.

    • Complex Problem Solving

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

    • Instructing

      Teaching people how to do something.

    • Equipment Selection

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

    • Troubleshooting

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

    • Service Orientation

      Looking for ways to help people.

    • Science

      Using scientific rules and strategies to solve problems.

    • Negotiation

      Bringing people together to solve differences.

    • Technology Design

      Making equipment and technology useful for customers.

    • Speaking

      Talking to others.

    • Coordination

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

    • Quality Control Analysis

      Testing how well a product or service works.

    • Programming

      Writing computer programs.

    • Writing

      Writing things for co-workers or customers.

    • Social Perceptiveness

      Understanding people's reactions.

    • Reading Comprehension

      Reading work-related information.

    • Critical Thinking

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

    • Learning Strategies

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

    • Management of Material Resources

      Managing equipment and materials.

    • Mathematics

      Using math to solve problems.

    • Installation

      Installing equipment, machines, wiring, or computer programs.

    • Active Learning

      Figuring out how to use new ideas or things.

    • Operation and Control

      Using equipment or systems.

    • Judgment and Decision Making

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

    • 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.

    • Management of Personnel Resources

      Selecting and managing the best workers for a job.

    • Time Management

      Managing your time and the time of other people.

    • Management of Financial Resources

      Making spending decisions and keeping track of what is spent.

    WorkKeys®

    Applied Math
    5
    Workplace Documents
    5
    Graphic Literacy
    5

    Abilities

    • Number Facility

      Adding, subtracting, multiplying, or dividing.

    • Far Vision

      Seeing details that are far away.

    • Fluency of Ideas

      Coming up with lots of ideas.

    • Speed of Closure

      Quickly knowing what you are looking at.

    • Speed of Limb Movement

      Quickly moving your arms and legs.

    • Explosive Strength

      Jumping, sprinting, or throwing something.

    • Spatial Orientation

      Knowing where things are around you.

    • Problem Sensitivity

      Noticing when problems happen.

    • Inductive Reasoning

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

    • Dynamic Strength

      Exercising for a long time without your muscles getting tired.

    • Near Vision

      Seeing details up close.

    • Sound Localization

      Noticing the direction that a sound came from.

    • Peripheral Vision

      Seeing something to your side when your are looking ahead.

    • Oral Comprehension

      Listening and understanding what people say.

    • Category Flexibility

      Grouping things in different ways.

    • Response Orientation

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

    • Manual Dexterity

      Holding or moving items with your hands.

    • Flexibility of Closure

      Seeing hidden patterns.

    • Finger Dexterity

      Putting together small parts with your fingers.

    • Written Comprehension

      Reading and understanding what is written.

    • Mathematical Reasoning

      Choosing the right type of math to solve a problem.

    • Written Expression

      Communicating by writing.

    • Extent Flexibility

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

    • Static Strength

      Lifting, pushing, pulling, or carrying.

    • Selective Attention

      Paying attention to something without being distracted.

    • Stamina

      Exercising for a long time without getting out of breath.

    • Wrist-Finger Speed

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

    • Oral Expression

      Communicating by speaking.

    • Multilimb Coordination

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

    • Depth Perception

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

    • Gross Body Equilibrium

      Keeping your balance or staying upright.

    • 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.

    • Reaction Time

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

    • Perceptual Speed

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

    • Auditory Attention

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

    • Night Vision

      Seeing at night or under low light.

    • Speech Clarity

      Speaking clearly.

    • Visualization

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

    • Trunk Strength

      Using your lower back and stomach.

    • Deductive Reasoning

      Using rules to solve problems.

    • Time Sharing

      Doing two or more things at the same time.

    • Rate Control

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

    • Control Precision

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

    • Glare Sensitivity

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

    • Visual Color Discrimination

      Noticing the difference between colors, including shades and brightness.

    • Speech Recognition

      Recognizing spoken words.

    • Hearing Sensitivity

      Telling the difference between sounds.

    • Gross Body Coordination

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

    • Information Ordering

      Ordering or arranging things.

    • Memorization

      Remembering words, numbers, pictures, or steps.

    • Originality

      Creating new and original ideas.

    Knowledge

    • 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.

    • 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.

    • Mechanical

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

    • 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.

    • Economics and Accounting

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

    • Transportation

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

    • English Language

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

    • 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.

    • Computers and Electronics

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

    • 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.

    • 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.

    • Sociology and Anthropology

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

    • 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.

    • 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.

    • Production and Processing

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

    • 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.

    • Law and Government

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

    • 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.

    • Food Production

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

    • Telecommunications

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

    • 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.

    • Fine Arts

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

    • 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.

    • 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.

    • Mathematics

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

    • 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.

    • 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.

    • Design

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

    • History and Archeology

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

    • 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.

    • 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.

    • 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.

    • Biology

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

    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 14,830
    • Yearly Projected Openings 1440

    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
    • Attention to Detail
    • Stress Tolerance
    • 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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