Stockbroker Resume Samples

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Stockbrokers buy and sell stocks and securities for clients through the stock exchange on behalf of a brokerage firm or broker-dealer in return for fees or commissions. Responsibilities typically listed on a sample Stockbroker resume include identifying prospective clients and assessing their needs, and maintaining current accounts while opening new accounts and raising assets. Bachelor's degrees in either finance or accounting are helpful in obtaining a Stockholder position, though they are not critical. Internships at brokerage firms can also help prospective Stockbrokers' resumes stand out from the crowd.

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1

Stockbroker / Independent Contractor

Created a book of business by cold calling, delivering exceptional client service, and building a client referral pipeline.

  • Acquired 130 accounts with an average account size greater than $100,000 and produced over $400,000 in gross commissions.
  • Organized and managed firm’s southeastern regional recruiting events.
  • Led new broker training program designed to hire, train, and provide mentoring support, which led to 2 new hires being ranked as top 5 producers within 1 year of their start date.
Candidate Info
2
years in
workforce
2
years
at this job
BA
International Business Economics
MS
Leadership W/ Project Management
Financial Planning
2

Stockbroker

Guided clients with their investments portfolios and kept them well informed of their current position of their portfolio.

  • Contacted prospective investors and assessed the suitability of new clients.
  • Provided investment advice to clients.
  • Successfully obtained Series 7 and 63 licenses.
  • Performed trading for customers via phone.
  • Ensured that all operations affecting clients were carried out in accordance with SEC rules.
Candidate Info
6
years in
workforce
4
years
at this job
3

Stockbroker

Provided customer service to clients and prospective clients.

  • Facilitated equity and option trades upon client's request.
  • Provided accurate financial information on fixed income, equity, option, and mutual fund products.
  • Assisted in addressing and solving issues with the Gain/Loss & Tax Center through our third party provider.
  • Educated clients and prospective clients on Scottrade and other financial industry workings.
  • Maintained up-to-date information on reorganizations, IPO's, margin policies, option expiration for clients etc.
Candidate Info
2
years in
workforce
2
years
at this job
BS
Business Administration
MA
Master of Arts
4

Stockbroker / Sales Representative

Passed the Series 7 the first time, becoming the youngest Financial Advisor at the firm

  • Increased company revenue 20% through new account acquisition (05/06-05/07 = $1.2m) (05/06-05/07 = $1.5m)
  • Finished at 135% of annual sales quota for 2007
  • Ranked #2 out of 15 top producing stockbrokers for 2007
  • Received WOW award for consistent acquisition of personal & corporate accounts
  • Promoted from Sales Representative to Director of Account Service Department to Financial Advisor
  • Field trainer for new Sales Representatives (trained and mentored 6 representatives)
  • Averaged fifteen to twenty new insurance/investment clients each month
  • Exceeded sales and service goals each month by 20-30%
  • Increased revenue 15% through referrals of satisfied clients
Candidate Info
2
years in
workforce
2
years
at this job
BS
Economics
5

Stockbroker

Prospect new potential clients with specific questions such as investment experience, total portfolio worth, asset allocation, and specific dollar allocation in particular investment vehicles such as equities, fixed income products, and mutual funds

  • Sell stock to individual and corporate clients in compliance with all SEC and Finra rules and regulations
  • 350-500 daily outbound calls to prospects for qualified leads in reaching goals of 25-50 qualified leads weekly.
  • Directly increased gross revenues of broker team consisting of 3 brokers by 20% to over 1 million in client assets with a 26% increase in new client acquisition
  • Research publicly traded companies reviewing and analyzing Income Statements, Balance Sheets, company quarterly and annual reports in the servicing of my investment clients
  • Consistent focus on client needs and suitability, compiling information in recommending proper investment products and vehicles pursuant to individual and corporate goals and risk levels
Candidate Info
7
years in
workforce
3
years
at this job
BBA
Finance, Business Management
6

Stockbroker

Established client relationships and stood as the liaison between them and the Markets.

  • Sustained said relationships with account servicing and follow-up, analyzing and fulfilling their needs.
  • Facilitated equity, fixed income, or Mutual fund trades for our retail investors.
  • Educated clients through seminars on trading, the Capital Markets, Retirement planning, and more.
  • Make proactive business development calls to clients and prospects to increase AUM.
  • Participated in ongoing training to develop techniques to strengthen client relationships and drive our value proposition.
Candidate Info
4
years in
workforce
11
months
at this job
BA
Economics
MBA
Chartered Financial Analyst Track
7

Stockbroker

  • Leadership Development Award recipient in 1988 (1 of 11 winners out of 1,000+) for sales excellence.
  • Counseled clients, managed portfolios, traded stocks/bonds and grew sales.
  • Involved in corporate mergers and acquisitions and public stock offerings.
Candidate Info
3
years in
workforce
3
years
at this job
Banking And Finance
8

Registered Representative (stockbroker)

Received incoming calls from clients' world wide, ranging from simple account management issues up to placing trades throughout their accounts within their portfolios.

  • Earned Series 7 & 63 licenses.
  • Managed over 80 - 100 calls per day.
  • Welcomed high dollar clients to their own specialized team of professionals.
  • Top 1% in business development for Spring Campaign.
Candidate Info
5
years in
workforce
4
years
at this job
BS
Business Marketing
9

Senior Stockbroker

Gained knowledge of client trading platforms, portfolio management software and trading tools

  • Assisted clients in all areas of customer support, including website instruction, password resets
  • Opened accounts and entered client trades
  • Organize Branch Seminars and Client Appreciation Events
  • Daily / Weekly monitoring of client's margin balances, option assignments and expirations
  • Mentored the branch Intern, supported her studying and passing of Series 7 and 63
  • Provided coverage at other branches when needed
Candidate Info
32
years in
workforce
5
years
at this job
10

Stockbroker

Marketed equity investment products and services to potential clients. Executed stocks, options, mutual funds and sellouts in a fast paced and compliant manner to maximize returns on investments and minimize risks.

  • Obtained NASD Series 7 and 63 licenses
  • Conducted Fed, Margin and Options sellouts
  • Monitored trades, order executions, P&L and M&A activities
  • Developed training and marketing materials for brokers
Candidate Info
4
years in
workforce
4
years
at this job
BBA
Finance
MBA
Master of Business Administration

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