Stock broker vs mutual funds agent

Differences between stock broker and mutual funds 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.
Show more

Mutual funds agent example responsibilities.

• Schedule and meet individuals\groups for assign or self-generate leads, assist and enroll eligible individuals in suitable Medicare product.
• Provide prospects and clients with financial plans and sell securities and insurance consistent with say plans.
• Demonstrate strong understanding of Comcast products, promoting and selling offerings to individual customers by knocking every door within assign territories.
• Demonstrate strong understanding of Comcast products, promoting and selling offerings to individual customers by knocking every door within assign territories.