Stock Broker Resume Samples

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Stock Brokers are responsible for managing investments for their clients. Typical work functions highlighted on a Stock Broker example resume are handling multiple investment portfolios, developing investment strategies, providing financial advice, informing clients on the status of their investments, researching financial markets, and finding new clients. Those looking to work as Stock Brokers should demonstrate throughout their resumes business acumen, analytical thinking, strong math and computer skills, teamwork, self-motivation, decision-making, and a trustworthy attitude. Most eligible candidates hold a Bachelor’s Degree in finance and are also trained in sales, management, and computers.

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1

Branch Manager / Stock Broker, Saint Petersburg, FL Branch

Collaborate closely with other Stock Brokers and interns in servicing more than 3,000 individual, joint, retirement, trust, estate, and corporate accounts. Offer key support in opening new accounts, upgrading existing service, and educating clients. Retain a high volume of customers by building long-term relationships and providing education and personal assistance. Place equity and option trades and submit mutual fund and bond orders. Provide notification and explanation of terms for reorganization items. Conduct group presentations and one-on-one product and service demonstrations. Interview, hire, coach, motivate, and evaluate performance of staff. Deliver staff training in areas of referral acquisition, asset gathering, problem solving, and client education and satisfaction. Ensure compliance with FINRA, SEC, company, and client services rules, policies, and procedures.

  • Secured numerous multimillion-dollar accounts through successful relationship building and referrals.
  • Continually ensured client satisfaction with a high likelihood to recommend by enhancing service, improving processes, and resolving complaints and inquiries.
  • Effectively trained several interns to become future senior brokers and managers.
  • Developed highly productive and efficient team that won Branch Excellence Award.
  • Initially hired as Intern and earned promotions leading to Branch Manager position within three years.
Candidate Info
18
years in
workforce
15
years
at this job
BS
Business Administration
2

Stock Broker

Completed a comprehensive training program and obtained Series 7 and 63 Licenses

  • Placed equity, option and mutual fund trades, provided quotes and facilitated discussions regarding equity markets, fixed income markets, international markets and economic conditions
  • Analyzed clients' portfolio exposure to risk to help determine suitability of investments
  • Worked in a performance driven environment exceeding sales metrics regarding business lead referrals, online previews of products, educational workshops, and trading platform walkthroughs
  • Coached team members to improve upon the service to sales transition and identify unstated needs or financial goals that may be achieved by further utilizing company services, products or tools
  • Developed and implemented lean initiatives through team problem solving sessions to identify ways to improve process efficiencies as well as the business strategy of the organization
  • Analyzed data on call drivers to determine ways to reduce call volume and handle time
Candidate Info
2
years in
workforce
1
year
at this job
BS
Economics
MA
Management
MS
Quantitative Finance
3

Stock Broker

  • Provided customer service and financial brokerage to facilitate the growth of a high volume retail branch.
  • Promoted to the role of branch stock broker from the role of broker trainee.
  • Facilitated the investment process by opening and maintaining accounts, educating clients on financial markets and providing quotes, news and research material.
Candidate Info
1
year in
workforce
1
year
at this job
BS
Business Administration, Finance, Economics Minor
4

Stock Broker

  • Managed assets of over 1 million dollars specializing in mergers and acquisitions.
  • Successfully passed series 7 and 63 certification.
  • Top producer for acquisition of new clients from 2000-2001
Candidate Info
1
year in
workforce
1
year
at this job
Business And Multimedia
Film And Multimedia
5

Stock Broker

Facilitator - providing training on new initiatives, products, and processes.

  • High Efficiency team member - Specialized team providing services to a wide range of clients and contacts.
  • Consistently scored within top tier (95%) for client satisfaction surveys on a quarterly basis.
  • Identified solutions and financial options for existing and potential clients.
  • Establish and maintain relationships with customers and provide assistance and resolution for problems clients encountered.
Candidate Info
9
years in
workforce
3
years
at this job
BA
Business Msnagement
6

Account Executive / Stock Broker

Solicited clients and gathered customer assets for investment.

  • Advised clients on financial investments to meet their goals and risk tolerance.
  • Tracked investments for clients and analyzed portfolios making recommendations for adjustments to meet changing financial status and economic conditions.
  • Series 3, 7, 63 licensed and Insurance Agent licensed.
Candidate Info
13
years in
workforce
4
years
at this job
C
Project Management Training
AS
Astronomy
AA
Associate of Arts
7

Assistant to Senior Directors; Stock Broker/block Trader

Executed institutional equity orders and assisted block traders in making markets, managing order flow and generating millions of dollars in equity trades.

  • Traded equity positions; computed profits and losses with overarching responsibility for reporting P&L and capital usage results to accounting.
  • Collaborated with sales traders across all regional offices including New York, Boston, Philadelphia, Atlanta, Chicago, Los Angeles and San Francisco, often supporting 20 or more sales traders at any given time.
  • Executed institutional orders for traders; on NYSE trading desk, moved to highest volume block trading with excessive customer orders to manage; successfully managed all orders and supported block traders.
  • Held two roles simultaneously for 5 year tenure; held position on equities block trading desk, assisting senior directors and block traders, and represented regional sales traders as Stock Broker/Sales trader.
Candidate Info
28
years in
workforce
5
years
at this job
AAS
Civil Engineering Technology
MBA
Finance
Finance
8

Stock Broker / High Net Worth Representative

Analyzed data concerning client sentiment to increase team productivity

  • Assisted the Mobile and Client Satisfaction teams with their mission to improve customer loyalty
  • Worked closely with business partners to resolve complex client issues
  • Mentored newly hired representatives on Fidelity systems and procedures
  • Independently studied for Series 7 Stock Broker Exam, passed first time with an 89%
Candidate Info
1
year in
workforce
1
year
at this job
MA
Environmental And Health Economics
MA
Economics
9

Registered Stock Broker

Executed high volumes of telephone sales

  • Managed high net worth US accounts
  • Designed and implemented stock portfolios
  • Increased client assets
  • Established long-term client relationships
  • Procured referrals from existing clientele
Candidate Info
11
years in
workforce
1
year
at this job
HS
Mathematics, Aviation
10

Junior Stock Broker

  • Analyzed current domestic market conditions to determine which sectors would provide the best return for the least amount of risk
  • Determined customer suitability and investment objectives based on the client's age, financial condition, and risk tolerance.
  • Aggressively prospected for clients throughout the U.S. and Europe yielding approximately four leads per week
  • Monitored global economic conditions to formulate a coherent macro outlook in order to identify current investment
  • Applied basic principles of technical analysis to time appropriate entry and exit of funds
  • Evaluated financial statements, 10(K), and 10(Q) forms to assess financial strength
  • Employed fundamental analysis through examination of key ratios and the use of discounted cash flow and dividend discount
Candidate Info
2
years in
workforce
1
year
at this job
BA
Economics

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