Certification or Licensing
Some sales brokers earn certification credentials from the CFA Institute (chartered financial analyst credential), CMT Association (chartered market technician certification), American Institute of Certified Public Accountants (certified public accountant), and National Association of Sales Professionals (certified professional sales person).
Investment banks typically require sales brokers to have or eventually receive their Series 7 (General Securities Representative) and Series 63 (Uniform Securities Agent State Law) credentials from the Financial Industry Regulatory Authority. Managers may be required to have the Series 9/10 (General Securities Sales Supervisor) credential. In addition, brokers must be licensed by regulators in the state in which their company does business.
Other Requirements
Sales brokers must pass a background check and a credit check.
- Accountants
- Auditors
- Chief Executive Officers
- Chief Financial Officers
- Commodities Brokers
- Compliance Managers
- Financial Analysts
- Financial Consultants
- Financial Institution Officers and Managers
- Financial Institution Tellers, Clerks, and Related Workers
- Financial Quantitative Analysts
- Financial Services Brokers
- Hedge Fund Investor Relations Specialists
- Hedge Fund Relationship Managers
- Investment Bankers
- Investment Banking Analysts
- Investment Banking Associates
- Investment Banking Traders
- Investment Fund Managers
- Investment Professionals
- Investment Underwriters
- Mergers and Acquisitions Attorneys
- Mutual Fund Wholesalers
- Private Bankers
- Regulatory Affairs Managers
- Regulatory Affairs Specialists
- Wealth Management Associates
- Wealth Management Investor Relations Specialists
