Registered sales assistant vs stock broker

Differences between registered sales assistant and stock broker duties and responsibilities

Registered sales assistant example responsibilities.

• Manage numerous, highly confidential details for retirement plan deals from start to finish including meticulous preparation of PowerPoint presentations.
• Maintain require NASD regulatory files and compliance manuals.
• Evaluate annuities for future cash flows to determine suitability and to maximize income.
• Trade equities, fix income, and options through computer systems and trading desks.
• Provide stock quotes to clients and enter orders for equities and mutual fund trades.
• Prioritize and execute multiple objectives, projects, or tasks simultaneously while adhering to the firm and FINRA policies and objectives.
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Stock broker example responsibilities.

• Manage communication with clients regarding margin call requirements base on NYSE and NASD standards.
• Administer the purchase and sale of small cap equities trade on NASDAQ and NYSE exchanges.
• Study to pass all require FINRA testing!
• Develop and monitor all stock trading and reporting and institute guidelines for proper FINRA procedures.
• Calculate common area maintenance expenses and CPI increases and notify tenants via letter of increases.
• Generate over $200k in derivative commission revenue through full-service brokerage and execution and roughly $100K in self-direct trading commission.
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