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       CODE: 250.257-018 Buy the DOT:Download/CD-ROM
TITLE(s): REGISTERED REPRESENTATIVE (financial) alternate titles: account executive; broker;
investment executive; securities broker; stock-broker
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. Interviews clients to determine financial position,
resources, assets available to invest, and financial goals. Provides clients with information and
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. Completes sales order tickets and submits completed tickets to support
personnel for processing of client requested transaction. Must pass state examination to receive
license and become registered 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 [FINANCIAL PLANNER (profess. & kin.) 250.257-014].
GOE: 11.06.04 STRENGTH: S GED: R4 M3 L4 SVP: 7 DLU: 89
ONET CROSSWALK: 43014A Sales Agents, Securities and Commodities
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