Securities Agents, Investment Dealers and Brokers 


Stockbrokers (securities agents and investment dealers) buy and sell stocks, bonds, treasury bills, and other securities for clients. They provide advice and monitor clients' investment portfolios to ensure that transactions are carried out according to industry regulations. Traders buy and sell stocks, bonds, commodity futures, foreign currencies, and other securities at stock exchanges on behalf of investment dealers. They review information and monitor market conditions from the exchange floor and through contact with other investment firms, pension fund managers, and financial analysts.


Work: Stockbrokers, securities agents, investment dealers and traders may buy or sell shares of stock their clients are interested in on the stock market. They may also interpret research information about companies and their securities. Some may advise clients on investments or on how to manage their investment portfolio.

Title Examples: Foreign Exchange Trader, Investment Dealer, Securities Agent, Stockbroker

Useful Secondary School subjects: Math, Business, Computer-related courses, English

Degrees associated with this career: Diploma, Associate, Bachelor, Master, Doctorate

Requirements: In general, you must have a university degree or college diploma in economics, business or other related discipline. You may be able to substitute investment, sales or other related industry experience for a post-secondary education. , To be a securities sales representative or trader, you need to complete industry investment/sales training programs as well as the Canadian Securities Course and the Registered Representative Manual Exam offered by the Canadian Securities Institute. If you wish to specialize in specific products, you can take specialized courses. , To be a securities agent, investment dealer or trader, you must obtain a licence issued by the securities commission in the province/territory where you'll work. , With experience, you may move up the ranks to become a manager. , Most recent entrants have an undergraduate university degree, and about 1 in 10 has a graduate degree.

Got queries? Post them below and our experts will get back to you:

Leave a Reply

Your email address will not be published. Required fields are marked *