1113 证券代理，投资交易商和经纪人 Securities Agents, Investment Dealers and Brokers

证券代理商和投资商为个人投资者，养老基金经理，银行，信托公司，保险公司和其他机构购买和出售股票，债券，国库券，共同基金和其他证券。经纪人代表证券投资商在证券交易所购买和出售股票，债券，商品期货，外汇及其他证券。他们受雇于投资公司，证券经纪公司，股票和商品交易所及证券业其他机构。

Securities agents and investment dealers buy and sell stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers, banks, trust companies, insurance firms and other establishments. Brokers buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers. They are employed by investment companies, stock brokerage firms, stock and commodity exchanges and other establishments in the securities industry.

1113 证券代理，投资交易商和经纪人 Example Titles

代理，证券 agent, securities
债券交易商 bond dealer
经纪人 broker
大宗商品经纪商 commodity broker
折扣经纪商 discount broker
场内交易商 - 商品交换 floor trader – commodity exchange
外汇交易商 foreign exchange trader
投资经纪人 investment dealer
共同基金经纪人 mutual fund broker
共同基金的销售代表 mutual fund sales representative
注册投资代表 registered investment representative
证券代理销售 securities sales agent
证券交易员 securities trader
股票经纪人 stockbroker
注册代表主管 supervisor, registered representatives

1113 证券代理，投资交易商和经纪人主要职责 Main duties

证券代理商和投资商执行部分或全部下列职责：Securities agents and investment dealers perform some or all of the following duties:

准备投资策略，以帮助客户实现其财务目标，提供各种投资建议和信息，以引导他们在管理自己的投资组合，与客户建立长期合作关系
Develop long-term relationships with their clients by preparing investment strategies to help them achieve their financial goals, offering advice and information on various investments to guide them in managing their portfolios

回顾金融期刊，股票和债券报告，商业出版物和其他材料，并开发金融行业内网络，收集相关信息并为客户识别潜在的投资
Review financial periodicals, stock and bond reports, business publications and other material, and develop a network within the financial industry to gather relevant information and identify potential investments for clients

通过为个人投资者，养老基金经理或公司，如银行，信托公司和保险公司购买和出售股票，债券，国库券，共同基金和其他证券，从而开展投资订单
Carry out investment orders by buying and selling stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers or companies such as banks, trust companies and insurance firms

监控客户的投资组合，并确保投资交易按照行业规定进行。
Monitor clients' investment portfolios and ensure that investment transactions are carried out according to industry regulations.

经纪人执行部分或全部下列职责：Brokers perform some or all of the following duties:

代表经销商在证券交易所投资，购买和出售股票，债券，商品期货，外汇及其他证券
Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers

通过回顾投资信息和监测交易所大厅交易情况，并通过与其他投资公司的交易部门，养老基金经理和投资公司金融分析师联系沟通，制定交易策略
Develop trading strategies by reviewing investment information and monitoring market conditions from the exchange floor and through contact with trading departments of other investment firms, pension fund managers and investment company financial analysts

出价和要价，购买和出售证券及交易所买卖门票销售的完整细节
Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets

准备组合持仓评论。
Prepare reviews of portfolios' positions.

1113 证券代理，投资交易商和经纪人任职要求 Employment requirements

通常需要经济学，企业或其他学科的大学本科或硕士学位。
A bachelor's or master's degree in economics, business or other discipline is usually required.

证券销售代表和经纪人需要完成产业投资和销售培训计划，并完成加拿大证券课程和由加拿大证券专业学会指定的注册代表手册考试课程。
Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of the Canadian Securities course and the Registered Representative Manual Exam offered by the Canadian Securities Institute.

专门课程也使用于证券销售代表和想要在具体的投资产品如证券期权和期货合约交易的经纪人。
Specialized courses are also available for securities sales representatives and brokers who want to trade in specific investment products such as securities options and futures contracts.

证券代理商，投资商和经纪人在省内就业需要省证券委员会颁发的执照。
Licensure by the provincial securities commission in the province of employment is required for securities agents, investment dealers and brokers.

1113 证券代理，投资交易商和经纪人附加信息 Additional information

随着经验积累，可能晋升到相关管理岗位。
Progression to related management positions is possible with experience.

1113 证券代理，投资交易商和经纪人其他分类 Classified elsewhere

财务及投资分析员 Financial and investment analysts 1112(1112)
金融经纪经理（保险，房地产和金融经纪经理） Financial brokerage managers (in 0121(0121) Insurance, real estate and financial brokerage managers )
其他财务人员 Other financial officers 1114(1114)

1113 证券代理，投资交易商和经纪人职称头衔 All titles

代理，证券 agent, securities
年金代表 - 投资 annuity representative – investments
套利人 arbitrager
债券经纪商 bond broker
债券交易商 bond dealer
债券交易员 bond trader
经纪人 broker
经纪人，投资 broker, investments
大宗商品经纪商 commodity broker
商品交易商 commodity trader
经销商，外汇 dealer, foreign exchange
折扣经纪商 discount broker
股权交易商 equity trader
金融经纪人 financial broker
场内交易商 - 商品交换 floor trader – commodity exchange
场内交易商，证券交易所 floor trader, stock exchange
外汇交易商 foreign exchange dealer
外汇交易商 foreign exchange trader
期货商 futures trader
粮食经纪人 grain broker
粮食经纪人 - 商品交易 grain broker – commodity trading
粮食贸易商 grain trader
独立场内交易商 independent floor trader
投资经纪人 investment broker
投资经纪人 investment dealer
投资代表 investment representative
货币市场交易员 money market trader
共同基金经纪人 mutual fund broker
共同基金销售代理 mutual fund sales agent
共同基金的销售代表 mutual fund sales representative
期权交易员 options trader
注册投资代表 registered investment representative
注册代表监事 registered representatives supervisor
代表，证券 representative, securities
销售代理，证券 sales agent, securities
业务员/男/女，证券 salesman/woman, securities
证券经纪人 securities agent
证券事务代表 securities representative
证券代理销售 securities sales agent
证券业务员/男/女 securities salesman/woman
证券交易员 securities trader
证券交易所场内交易商 stock exchange floor trader
股票经纪人 stockbroker
股票和债券交易人 stocks and bonds trader
注册代表监事， supervisor, registered representatives
交易员，外汇 trader, foreign exchange
交易员，股票和债券 trader, stocks and bonds
信托业务推销员/男/女 trust services salesman/woman