---
name: securities-broker
description: "Occupational skill for the role 'securities broker' (also: junior stock broker, stock salesperson, financial services sales agent, investment broker). Use when the user asks for typical securities broker work such as: Make bids or offers to buy or sell securities.; Monitor markets or positions.; Agree on buying or selling prices at optimal levels for clients."
---

# Securities Broker

Securities brokers create the connection between the investors and the available investment opportunities. They purchase and sell securities on their clients' behalf, based on their expertise in the financial markets. They monitor the performance of their clients' securities, assessing their stability or speculative tendencies. Securities brokers calculate the securities' price and place orders.

## Core workflow

1. Make bids or offers to buy or sell securities.
2. Monitor markets or positions.
3. Agree on buying or selling prices at optimal levels for clients.
4. Keep accurate records of transactions.
5. Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.
6. Complete sales order tickets and submit for processing of client-requested transactions.
7. Report all positions or trading results.
8. Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.

## How to use this skill

- Read [references/profile.md](references/profile.md) for the occupation profile and scope.
- Consult [references/tasks.md](references/tasks.md) for the full task and activity inventory.
- Check [references/skills.md](references/skills.md) for essential vs. optional competences.
- Check [references/tools.md](references/tools.md) for the software commonly used in this role.
- See [references/ai-skills.md](references/ai-skills.md) — matched external AI agent skills (per-source attribution).

## Key competences (essential)

- actuarial science
- advise on financial matters
- analyse financial risk
- analyse market financial trends
- apply technical communication skills
- assess risks of clients' assets
- create a financial plan
- economics
- financial jurisdiction
- financial markets
- financial products
- forecast economic trends
- handle financial transactions
- maintain records of financial transactions
- obtain financial information

## Hot technologies

- The MathWorks MATLAB
- Salesforce software
- Microsoft Access
- Microsoft Visual Basic
- Microsoft SharePoint
- Microsoft Outlook
- Oracle PeopleSoft
- SAP software
- C++
- Oracle Java

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*Sources: ESCO v1.2.1 (http://data.europa.eu/esco/occupation/c0463fbe-7914-48ac-84ec-abaee1a7f292), O*NET 30.3 (41-3031.00). See manifest.json for licensing/attribution.*