Stock brokers provide investment management services for clients of investment firms and other financial institutions. A bachelor's degree in finance is typically required, along with experience and professional licensing. A high school diploma and a bachelor's degree in finance or business administration is required to become a stock broker. On-the-job training programs or internships are often available to aspiring stock brokers, which allow them to gain practical experience and work towards earning the needed professional licenses.
With several years of experience, stock brokers are qualified for a variety of brokerage career opportunities. In training programs, stock brokers study securities and commodities sales, federal regulations on investments and how to manage financial portfolios for their clients. Programs for stock brokers can often be found online.
A finance degree prepares students to work as stock brokers by focusing a student's studies on financial laws and regulations, accounting methods and investment management. Students study the principles of economics and currency, financial planning and financial forecasting.
Programs require four years of study and commonly include courses on:. Employers prefer to hire stock brokers with years of brokerage experience. Employers that offer online brokerage services may require one or more years of online brokerage experience. Internships are an ideal way for beginning brokers to gain experience and build their knowledge of the industry.
Stock brokers with limited experience can find entry-level positions that provide on-the-job training programs. Stock brokers should have experience in investment management, financial planning, securities sales and customer service. Most investment firms require stock brokers to have a Series 7 and Series 63 or 66 license. Some employers hire non-licensed stock brokers if they obtain the licenses within several months of employment.Cold Call Training with Grant Cardone in the Boiler Room
To obtain a Series 7 license, stock brokers must pass the General Securities Registered Representative Examination, which is administered by the Financial Industry Regulatory Authority FINRA. To obtain Series 63 or 66 licensure, stock brokers must pass the Uniform Securities Agents State Law Examination, which addresses legal, bookkeeping and client services in securities sales and exchange.
Some employers may offer training programs that prepare stock brokers to take the licensure exams. With both licenses, stock brokers demonstrate extensive knowledge of securities sales and financial regulations to employers. Employers and universities often hold workshops and seminars for stock brokers and financial advisors. Workshops may be a part of on-the-job training or continuing education program.
These workshops may be presented by experienced stock brokers, financial advisors or financial instructors. Workshops typically cover topics related to financial management, investment analysis, client relations and stock exchange rules and regulations. The National Association of Stockbrokers NAS is a large professional organization with more than 20, members throughout the country.
The organization provides conferences, weekly meetings, networking opportunities and continuing education resources. Large corporations and financial institutions often have representatives at NAS meetings, which give members an in-depth look at trends in the industry. The NSA has chapters in 45 cities, so professional development resources are easily accessible to most stock brokers. Becoming a stock broker involves a number of career-specific licensing and certification requirements, as well as a bachelor's degree in finance or business administration.
On-the-job training is another key part of entering this career field.
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Stock buybacks can increase you college Aspiring stock brokers typically earn a bachelor's degree in a relevant financial or business field. Several schools offer personal financial planning certificate programs that develop the investment and financial planning The listings below may include sponsored content but are popular choices among our users.
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Find a degree that fits your goals. Browse Schools by Degree Level Graduate Degrees High School Diplomas Certificate Programs Post Degree Certificates Undergraduate Degrees. Browse Schools Public Schools by State University Video Reviews. Stock Broker Training Programs and Requirements Stock brokers provide investment management services for clients of investment firms and other financial institutions. Essential Information A high school diploma and a bachelor's degree in finance or business administration is required to become a stock broker.
Find schools that offer these popular programs. Banking Related Services Credit Management Financial Mgmt Services Financial Planning Services International Finance Investments and Securities Public Finance Mgmt More Programs. Bachelor of Science in Finance A finance degree prepares students to work as stock brokers by focusing a student's studies on financial laws and regulations, accounting methods and investment management. Programs require four years of study and commonly include courses on: Financial markets and institutions Financial management Accounting methods Corporate finance Investments and insurance Risk management Job Experience Employers prefer to hire stock brokers with years of brokerage experience.
Licenses and Certifications Most investment firms require stock brokers to have a Series 7 and Series 63 or 66 license. Continuing Education Employers and universities often hold workshops and seminars for stock brokers and financial advisors. What is your highest level of education?
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Job Options and Salary Information. Job Description and Education Requirements. Top Schools for Business Finance. List of Top Online Finance Schools. Pharmacy Technician Career Video. What Is a Stock Split What is a stock split? All About Stock Buybacks Stock buybacks are a companies way of returning wealth to its shareholders. How to Choose Aspiring stock brokers typically earn a bachelor's degree in a relevant financial or business field.
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