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 Business, Management and Administration cluster Business Finance and Accounting 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, present information, or explain available services.