Investment Broker Resume Samples

An Investment Broker is a person who buys and sells securities such as stocks on an exchange market. Typical work activities associated with the role are listed on the Investment Broker Resume as – providing accurate investment advice to clients, accurately evaluating financial reports, managing clients’ investment portfolios, providing regular updates to clients regarding the status of their investment portfolios; informing clients of new investment opportunities within the stock market; sourcing new clients through networking and cold calling, and making changes in investment strategies based on the market conditions.

Success in the field mainly depends on how analytical, and sound the Investment Broker is, however, even the following core skills are vital for succeeding – proficient in IT and mathematics, the ability to evaluate complex information, the ability to work under pressure, and sound knowledge of how financial markets operate. A bachelor’s degree in finance, accounting, or business is often seen on eligible resumes.

Investment Broker Resume example

Investment Broker Resume

Objective : Obtain an Investment Broker position offering the opportunity for educational and potentially career growth. Achieving the designation of CPA and CFA is a secondary, independent goal.

Skills : PowerPoint, Quickbooks.

Description :

    1. Bonded and licensed in life, health and disability insurance.
    2. Worked in the brokerage business I managed and guided portfolios of approximately 300 clients with and estimated portfolio value between 15 and 30 million dollars.
    3. Established a relationship with the City of Johnson City, TN, to place their short term money in Treasury Certificates which had been invested in local bank money market accounts.
    4. Gave the City a tremendous increase in their interest income while reducing their exposure to market fluctuation.
    5. Added several million dollars invested with A.G.
    6. Able to complete this task after only six months on the job.
    7. Used cold calling, seminars and referrals to build my book.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
B. S. In Business Management


Investment Broker Resume

Summary : Results-oriented and motivated Producer with a drive to produce revenue increases through marketing, prospecting and developing new lines of revenue through individuals, businesses and organizations, utilizing knowledge of business strategies, local/regional economic trends and sales/marketing techniques.

Skills : Security, Welding, Heavy Equipment, Garden Center.

Description :

    1. Ranked as #1 in sales in 2000 out of 10 investment brokers.
    2. Worked extensively with clients to review their financial investments.
    3. Averaged $325,000 production per year.
    4. Legg Mason paid $140,000 signing bonus to recruit me from A.G.
    5. Managed $30,000,000 in assets.
    6. Sold stocks, bonds, mutual funds, annuities, wrap accounts.
    7. Produced my all-time record of $53,000 in production.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
B.A. In Journalism


Investment Broker Resume

Summary : Knowledgeable and self-motivated finance and lending professional whose success is based on integrity, exceptional customer service, and efficiency.

Skills : Analytic and problem-solving.

Description :

    1. Bought and sold stocks and other securities for both retail and institutional clients.
    2. Managed the Chicago branch of Wachovia Securities from 1999 - 2002.
    3. Responsible for approving all trades placed in that office.
    4. Made sure those investments were compliant and suitable for the customer's risk tolerance.
    5. Managed 30 brokers in that branch.
    6. Managed Branch in Pittsburgh from  Accomplishments Series 7, 63, and 24 licenses.
    7. Managed Principal in Chicago as well as Pittsburgh Skills Used Very strong communication skills with my personal clients as well as the employees that I managed.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Bachelor's Of Science

Investment Broker Resume

Summary : Results oriented, versatile individual with a solid work ethic and natural leadership capabilities to support overall organizational goals for growth and profitability through effective business and financial management. Possess the drive, resourcefulness and ability to thrive in challenging environments and utilize superb critical thinking and skills to provide innovative solutions to existing or emerging problems.

Skills : Legal Research, Legal Terminology, Communication Skills.

Description :

    1. Obtained Series 7, 63 licensing to sell securities, Health and Life insurance licenses after completion of vigorous self-study training program.
    2. Responsible for soliciting businesses and private individuals to establish new accounts within my territory.
    3. Gathered information from prospective clients in an attempt to establish financial objectives and positions.
    4. Prepared and presented financial presentations.
    5. Utilized computers on a daily basis for a variety of tasks.
    6. Conducted research on various investments to remain informed of trends and opportunities.
    7. Dealt with compliance issues related to selling securities and keeping information private.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Bachelor Of Science

Investment Broker Resume

Summary : To establish a long-term career in a company where I may utilize my Investment Broker professional skills and knowledge to be an effective Associate Program Manager and inspiration to those around me.

Skills : Bloomberg, Thomson Portfolio Analytics, Zephyr StyleAdvisor, Excel, Morningstar.

Description :

    1. Initiated and developed an Excel program to automate the process of tracking compliance issues from Katrina affected clients.
    2. Maintained high level knowledge of mutual funds, services and the financial industry through constant online research, industry periodicals, internal and external training.
    3. Participated in constant continuing education.
    4. Responsible for analyzing and reporting results.
    5. Led resource for disseminating topical complex scenarios such as interpreting year-end tax documents Provided appropriate asset allocation and mutual fund recommendations based on specific client needs.
    6. Maintained a compliance resource library for ERS team members to reference when questions arise.
    7. Remained up to date on relevant regulations impacting investment compliance.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Master's In Business Administration

Investment Broker Resume

Objective : To obtain a part-time Investment Broker position with an emphasis on Sales Support/Office Management utilizing extensive experience and skills. Productive in contributing effectively towards the objectives of a team, and is able to share knowledge, ideas, and information.

Skills : MS Office, Training Skills.

Description :

    1. Provided services to new and established market traders.
    2. Proprietary Trader Managed book of stocks and options at approximately $150K + margin on a daily basis.
    3. Created multiple strategies for buying and selling stock options.
    4. Researched NYSE, AMEX, and NASDAQ markets, executed all investment decisions.
    5. Managed personal proprietary book executing a variety of stocks, equity options and future products.
    6. Prepared daily trading strategies for intraday and overnight trading positions Analyzed charting patterns for investment opportunities.
    7. Processed Profit and Loss statements for LLP's on a monthly basis.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
B.S.

Investment Broker Resume

Headline : Passionate, motivated and highly successful Sales and Marketing Executive with an outstanding record of achievement in media and financial sales as well as operations offers experience in: Identifying areas with high potential for sales growth Creating a reputation for superior customer service and long-term client relationships Opening up new territories and offices through aggressive marketing campaigns Identifying, recruiting and developing key talent for pushing the envelope, and Brings an outstanding skill set to any sales operation seeking to grow accounts, develop new territories, boost profitability and improve client services, with an intuitive sense for identifying and solving critical business needs.

Skills : Microsoft Office, Project Management, Leadership, Teamwork, Project Management.

Description :

    1. Promoted to Branch Manager and opened up a new branch office in St.
    2. Worked jointly with other brokers assisting them with estate and wealth transfer cases.
    3. Calculated commissions for the real estate agents.
    4. Quickly became the highest producing office in the company (out of 50), personally managing over $40 million in client assets.
    5. Accomplished this honor with only a staff of 2, personally contacting and winning accounts.
    6. Earned management praise for seeking and finding new opportunities to win business.
    7. Provided full service brokerage products to my clients.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
BA

Investment Broker Resume

Summary : To obtain a challenging Investment Broker position where my acquired skills can be fully utilized in a field that will allow growth and to contribute to my work experience and a new wealth of knowledge.

Skills : Microsoft Office, MS Project, Sharepoint, Project Management, Project Management, Business Development, Relationship Management, Financial Management.

Description :

    1. Actively managed clients' funds of up to $50,000 Develop financial plans based on analysis of client's financial status, and discuss financial options with clients.
    2. Communicated with people outside the organization.
    3. Represented the organization to customers, the public, and other external sources.
    4. Convinced others to buy merchandise/goods or to otherwise change their minds or actions.
    5. Relayed buy or sell orders to securities exchanges or to firm trading departments.
    6. Developed specific goals and plans to prioritize, organize, and accomplish your work.
    7. Researched, called on customers, buy and sell stocks and bonds Accomplishments I helped multiple generations of families make sound investments for their future and that of their families.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
GED

Investment Broker Resume

Summary : Obtain an Investment Broker position where I could continue to help clients with their investments and retirement accounts recommending suitable investments for accumulating protecting and transferring assets. Provide excellent service and build strong client relationships to expand business through referrals. Skills and Talents Comfortable working with and recommending the following products: All types of life and health insurance, fixed and variable annuities, mutual funds, CDs, futures, options, and margins.

Skills : MS Office, Trading Skills.

Description :

    1. Utilized financial background to implement comprehensive financial planning.
    2. Allocated client's assets with financial analysis and in depth knowledge of clients needs using a spectrum of financial investments.
    3. Serviced existing clients while networking and promoting new business by cold calling, seminars, and mailers.
    4. Put together a bond issue for a hospital in West Virginia.
    5. Used Every day searched for available issues and if there was an offer that I felt would benefit one or more of my customers would research it completely before making a bid and then selling it too my customers.
    6. Never traded in questionable offerings.
    7. Implemented the above skills in addition to providing guidance for stocks, bonds, and option investments.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
B.A. In Psychology

Investment Broker Resume

Objective : Ability to collect, manage and analyze information efficiently and accurately. Proven track record managing multiple functions, solving problems, and producing quality work. Strong analytical planning, critical thinking, and technical skills. Highly organized and self-directed. Excellent team player and dedicated to succeeding.

Skills : Computer Hardware, Communication Skills.

Description :

    1. Advised management and staff concerning investment compliance matters both existing and emerging.
    2. Developed and implemented solutions to ensure compliance with regulatory requirements both existing and emerging.
    3. Maintained written policies and documentation related to the Investment Compliance Program.
    4. Developed and presented written and oral reports to key stakeholders related to the Investment Compliance Program.
    5. Designed and managed investment compliance metrics/reports to monitor and track results.
    6. Monitored corrective action taken by management and staff to resolve compliance violations.
    7. Developed and provided training to staff on investment related regulatory requirements.
    Years of Experience
    Experience
    2-5 Years
    Experience Level
    Level
    Executive
    Education
    Education
    Business Management