A licensed professional who buys and sells securities on behalf of clients.
What stockbrokers do
Stockbrokers execute trades for retail and institutional clients, build investment portfolios, explain market events, and recommend strategies aligned with client goals. Many now work as wealth advisors offering planning and asset allocation alongside transaction services.
Training path
US stockbrokers must pass FINRA Series 7 and Series 63 or Series 66 exams to register as broker-representatives. Most hold bachelor’s degrees in finance, business, or economics. Many also pursue CFP, CFA, or other planning credentials to differentiate.
Settings
Brokers work for full-service brokerages, regional broker-dealers, banks, online discount platforms with advisor support, and independent broker-dealer networks. The role increasingly resembles financial planning as commissions decline.
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Stockbroker starts with S and ends with R. Browse other professions along the same letter.
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