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Broker Relations Representative Job Description

Job Descriptions November 10, 2013

When we are looking to invest in our future, we want to be sure that the person or persons we trust our money with are capable and trustworthy. We are looking to invest in our future and want to know if we will be able to count on these investments. Who do we turn to? We turn to a brokerage company and their employees.

The Duties and Responsibilities of a Broker Relations Representative

What is a broker relations representative? What is a broker and what do they do? A broker is a dealer of finance and is defined as a person that handles stock transactions; the legal definition is a person or company whose business buys and sells securities such as stocks, bonds, mutual funds, and other investments for their clients or its own account. The people who work for a brokerage company are known as a registered broker relations representative.

Requirements

The registered broker relations representative is required to register with FINRA, pass a qualifying examination, and be licensed by the state securities regulator, in your state, before they can conduct business with and for you. According to FINRA.org, you can obtain background information about brokers and registered broker relations representatives by using FINRA “BrokerCheck” or calling FINRA.

You can also check with your state securities regulator. Registered broker representatives work for full service brokerage firms. They can handle any type of financial transaction you desire and may also offer investment planning or more services.

Why should you be a Broker Relations Representative?

Registered broker representatives are mainly securities sales people. They may also be known as a financial consultant, advisor, or investment consultant. The license they hold determines which products they can sell to you. When they suggest that you buy or sell a security, they must have a valid reason they think the recommendation is for you. This belief should be based on your income, portfolio, financial situation, risk tolerance, and investment goals.

The brokerage firm and their representatives are working to try to give you the best financial security they can. Most importantly, you should feel secure with them and feel they are the right one for you and your needs.

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Good for Working Adults
  • Accredited
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  • Transferable Credits
1 Program(s) Found
  • Top-ranked online MBA
  • As few as 24 months to complete
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  • Six concentrations available
  • AACSB accredited
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  • Earn an Affordable Degree from Home at your own pace
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