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DOT Code: 162.167-038

Industry: financial
Alternate Titles: broker; trader

Purchases and sells securities for brokerage firm: Receives sales order ticket from Registered Representative (financial) 250.257-018, 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. 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. Must pass state examination to receive license and become registered to trade securities. 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 [Registered Representative (financial)].

GOE: 11.06.03 STRENGTH: S GED: R5 M4 L5 SVP: 7 DLU: 89