Compiles security transaction records and receives and delivers securities to and from trust vault. Opens combinations on cabinets in vault. Examines securities deposited for safekeeping, verifies descriptions and signatures, and files securities according to customer names and account number. Records... [+] More

Compiles security transaction records and receives and delivers securities to and from trust vault. Opens combinations on cabinets in vault. Examines securities deposited for safekeeping, verifies descriptions and signatures, and files securities according to customer names and account number. Records securities transactions including purchases, exchanges, and stock splits to maintain control of customer accounts. Releases securities from vault upon authorized request. Acts as agent for bank by observing Bank Auditors auditing securities in vault. May examine collateral to ensure conformity with loan specifications. [-] Less

Directs activities of state department governing securities and real estate transactions

interprets laws regarding transactions and recommends action by law enforcement agencies or appropriate state board. Investigates applications for registration of securities sales. Investigates complaints of fraudulent or irregular transactions and... [+] More

Directs activities of state department governing securities and real estate transactions

interprets laws regarding transactions and recommends action by law enforcement agencies or appropriate state board. Investigates applications for registration of securities sales. Investigates complaints of fraudulent or irregular transactions and recommends legal action if necessary. Prepares agenda and participates in meetings with securities commission and board of real estate examiners to discuss pending cases and present or future problems. Directs workers engaged in publishing manuals, bulletins, and reports for information of dealers, brokers, and public. Conducts educational classes and approves written examinations required of applicants for registration and licenses. [-] Less

Supervises and coordinates activities of workers engaged in processing settlement of cash or securities transactions for trust-account customers in trust division of commercial bank. Reviews debit and credit entries to customer trust accounts pertaining to cash or securities transactions to... [+] More

Supervises and coordinates activities of workers engaged in processing settlement of cash or securities transactions for trust-account customers in trust division of commercial bank. Reviews debit and credit entries to customer trust accounts pertaining to cash or securities transactions to determine whether funds were received or disbursed according to predetermined schedules, trust or investment-department instructions, or instructions on customer account records, using computer terminal and computer printouts. Supports workers with more difficult aspects of preparing records and transmittal documents for transactions involving purchase or sale of customer assets, recording interest and balance on contracts and notes, recording stock dividends, and placing insurance for customer property held in trust. Trains new workers. Performs other duties as described under supervisor. May be designated according to specialized area of work. [-] Less

Analyzes statistical information affecting investment program of public, industrial, and financial institutions, such as banks, insurance companies, and brokerage and investment houses. Interprets data concerning investments, their price, yield, stability, and future trends, using daily stock and bond reports, financial... [+] More

Analyzes statistical information affecting investment program of public, industrial, and financial institutions, such as banks, insurance companies, and brokerage and investment houses. Interprets data concerning investments, their price, yield, stability, and future trends, using daily stock and bond reports, financial periodicals, securities manuals, and personal interviews.

Develops charts and graphs regarding investments. Summarizes data setting forth current and long-term trends in investment risks and measurable economic influences pertinent to status of investments. May perform research and make analyses relative to losses and adverse financial trends and suggest remedial measures. May transmit buy-and-sell orders to broker based on securities analysis. [-] Less

Analyzes statistical information affecting investment program of public, industrial, and financial institutions, such as banks, insurance companies, and brokerage and investment houses. Interprets data concerning investments, their price, yield, stability, and future trends, using daily stock and bond reports, financial... [+] More

Analyzes statistical information affecting investment program of public, industrial, and financial institutions, such as banks, insurance companies, and brokerage and investment houses. Interprets data concerning investments, their price, yield, stability, and future trends, using daily stock and bond reports, financial periodicals, securities manuals, and personal interviews.

Develops charts and graphs regarding investments. Summarizes data setting forth current and long-term trends in investment risks and measurable economic influences pertinent to status of investments. May perform research and make analyses relative to losses and adverse financial trends and suggest remedial measures. May transmit buy-and-sell orders to broker based on securities analysis. [-] Less

Buys and sells stocks and bonds for individuals and organizations as representative of stock brokerage firm, applying knowledge of securities, market conditions, government regulations, and financial circumstances of customers. Requires broker's license.

Gives information and advice regarding stocks, bonds, market conditions,... [+] More

Buys and sells stocks and bonds for individuals and organizations as representative of stock brokerage firm, applying knowledge of securities, market conditions, government regulations, and financial circumstances of customers. Requires broker's license.

Gives information and advice regarding stocks, bonds, market conditions, and history and prospects of various corporations to prospective customers, based on interpretation of data from securities reports, financial periodicals, and stock-quotation-viewer screen, and persuades customers to buy or sell specific securities according to their financial needs. Transmits buy or sell orders in accordance with customer's wishes. Develops portfolio of selected investments for customer. Compiles list of prospective customers and telephones prospects to obtain additional business. [-] Less

Purchases and sells securities for brokerage firm according to sales order. Receives sales order ticket from registered representative, and inspects form to ensure accuracy of information. Contacts market maker (securities exchange or brokerage firm that is trading requested securities) to... [+] More

Purchases and sells securities for brokerage firm according to sales order. Receives sales order ticket from registered representative, and inspects form to ensure accuracy of information. Contacts market maker (securities exchange or brokerage firm that is trading requested securities) to execute client orders for purchase or sale of securities, or completes transaction independently if brokerage firm is market maker in requested securities. Must pass state examination to receive license and become registered to trade securities.

Writes and signs sales order confirmation forms to record and approve securities transactions. Reviews all securities transactions to ensure that trades conform to regulations of Securities and Exchange Commission, National Association of Securities Dealers, and other government agencies. May prepare financial reports to monitor corporate finances. May have management or supervisory responsibility for department employees. May provide clients with information on investments and sell securities and other financial services. [-] Less

Buys and sells stocks and bonds for individuals and organizations as representative of stock brokerage firm, applying knowledge of securities, market conditions, government regulations, and financial circumstances of customers. Requires broker's license.

Gives information and advice regarding stocks, bonds, market conditions,... [+] More

Buys and sells stocks and bonds for individuals and organizations as representative of stock brokerage firm, applying knowledge of securities, market conditions, government regulations, and financial circumstances of customers. Requires broker's license.

Gives information and advice regarding stocks, bonds, market conditions, and history and prospects of various corporations to prospective customers, based on interpretation of data from securities reports, financial periodicals, and stock-quotation-viewer screen, and persuades customers to buy or sell specific securities according to their financial needs. Transmits buy or sell orders in accordance with customer's wishes. Develops portfolio of selected investments for customer. Compiles list of prospective customers and telephones prospects to obtain additional business. [-] Less

Sells financial products... [+] More

Sells financial products and services to clients for investment purposes, applying knowledge of securities, investment plans, market conditions, regulations, and financial situation of clients. Identifies potential clients, using advertising campaigns, mailing lists, and personal contacts. Solicits business from potential clients. Converses with clients to determine financial position, resources, assets available to invest, and financial goals. Informs and gives clients advice on purchase or sale of securities, financial services, and investment plans, based on review of professional publications and other financial literature and knowledge of securities market and financial services industry. Requires registration to sell securities.

May read status reports and perform calculations to monitor client accounts and verify transactions. May work for firm that offers discounted brokerage fees and does not offer advice to clients. May develop and implement financial plans, and sell insurance, real estate, or securities. [-] Less

Purchases and sells securities for brokerage firm according to sales order. Receives sales order ticket from registered representative, and inspects form to ensure accuracy of information. Contacts market maker (securities exchange or brokerage firm that is trading requested securities) to... [+] More

Purchases and sells securities for brokerage firm according to sales order. Receives sales order ticket from registered representative, and inspects form to ensure accuracy of information. Contacts market maker (securities exchange or brokerage firm that is trading requested securities) to execute client orders for purchase or sale of securities, or completes transaction independently if brokerage firm is market maker in requested securities. Must pass state examination to receive license and become registered to trade securities.

Writes and signs sales order confirmation forms to record and approve securities transactions. Reviews all securities transactions to ensure that trades conform to regulations of Securities and Exchange Commission, National Association of Securities Dealers, and other government agencies. May prepare financial reports to monitor corporate finances. May have management or supervisory responsibility for department employees. May provide clients with information on investments and sell securities and other financial services. [-] Less