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Securities Agents, Investment Dealers And Brokers

1113 – Securities Agents, Investment Dealers And Brokers

Securities agents and investment dealers buy and sell stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers, banks, trust companies, insurance firms and other establishments. Brokers buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers. They are employed by investment companies, stock brokerage firms, stock and commodity exchanges and other establishments in the securities industry.

  • Illustrative example(s)
    • agent, securities
    • bond dealer
    • broker
    • commodity broker
    • discount broker
    • floor trader – commodity exchange
    • foreign exchange trader
    • investment dealer
    • mutual fund broker
    • mutual fund sales representative
    • registered investment representative
    • securities sales agent
    • securities trader
    • stockbroker
    • supervisor, registered representatives
  • All Examples
    • annuity representative – investments
    • arbitrager
    • bond broker
    • bond dealer
    • bond trader
    • broker
    • broker, investments
    • commodity broker
    • commodity trader
    • dealer, foreign exchange
    • discount broker
    • equity trader
    • financial broker
    • floor trader – commodity exchange
    • floor trader, stock exchange
    • foreign exchange dealer
    • foreign exchange trader
    • futures trader
    • grain broker
    • grain broker – commodity trading
    • grain trader
    • independent floor trader
    • investment broker
    • investment dealer
    • investment representative
    • money market trader
    • mutual fund broker
    • mutual fund sales agent
    • mutual fund sales representative
    • options trader
    • registered investment representative
    • registered representatives supervisor
    • representative, securities
    • sales agent, securities
    • salesman/woman, securities
    • securities agent
    • securities representative
    • securities sales agent
    • securities salesman/woman
    • securities trader
    • stock exchange floor trader
    • stockbroker
    • stocks and bonds trader
    • supervisor, registered representatives
    • trader, foreign exchange
    • trader, stocks and bonds
    • trust services salesman/woman
  • Exclusion(s)
    • Financial and investment analysts (1112)
    • Financial brokerage managers (See 0121 Insurance, real estate and financial brokerage managers)
    • Other financial officers (1114)
  • Main duties

          Securities agents and investment dealers perform some or all of the following duties:

    • Develop long-term relationships with their clients by preparing investment strategies to help them achieve their financial goals, offering advice and information on various investments to guide them in managing their portfolios
    • Review financial periodicals, stock and bond reports, business publications and other material, and develop a network within the financial industry to gather relevant information and identify potential investments for clients
    • Carry out investment orders by buying and selling stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers or companies such as banks, trust companies and insurance firms
    • Monitor clients’ investment portfolios and ensure that investment transactions are carried out according to industry regulations.

Brokers perform some or all of the following duties:

    • Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
    • Develop trading strategies by reviewing investment information and monitoring market conditions from the exchange floor and through contact with trading departments of other investment firms, pension fund managers and investment company financial analysts
    • Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
    • Prepare reviews of portfolios’ positions.
  • Employment requirements
    • A bachelor’s or master’s degree in economics, business or other discipline is usually required.
    • Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of the Canadian Securities course and the Registered Representative Manual Exam offered by the Canadian Securities Institute.
    • Specialized courses are also available for securities sales representatives and brokers who want to trade in specific investment products such as securities options and futures contracts.
    • Licensure by the provincial securities commission in the province of employment is required for securities agents, investment dealers and brokers.
  • Additional information
    • Progression to related management positions is possible with experience.

Source: This content has been taken from the official website of CIC


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