Job Description:

• 1) Purchases and sells securities for brokerage firm: Receives sales order ticket from REGISTERED REPRESENTATIVE , and inspects form to ensure accuracy of information.

• 2) Contacts market maker to execute client orders for purchase or sale of securities, or completes transaction independently if brokerage firm is market maker in requested securities.

• 3) Writes and signs sales order confirmation forms to record and approve securities transactions.

• 4) 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.

• 5) Must pass state examination to receive license and become registered to trade securities.

• 6) May prepare financial reports to monitor corporate finances.

• 7) May have management or supervisory responsibility for department employees.

• 8) May provide clients with information on investments, and sell securities and other financial services.