Stock broker vs licensed sales agent

Differences between stock broker and licensed sales agent duties and responsibilities

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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Licensed sales agent example responsibilities.

• Schedule and meet individuals\groups for assign or self-generate leads, assist and enroll eligible individuals in suitable Medicare product.
• Develop a working knowledge of the Medicaid program used to educate customers on product eligibility.
• Demonstrate strong understanding of Comcast products, promoting and selling offerings to individual customers by knocking every door within assign territories.
• Service Humana ACA plan members on benefits, service.
• Comply with all regulatory guidelines as well as HIPAA and privacy guidelines, demonstrate client/customer confidentiality.
• Handle, process and accurately record confidential financial and health customer information following all applicable HIPAA privacy laws.
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