该小组履行以下部分或全部职责：

证券代理人和投资交易商

• 通过制定投资策略帮助客户实现财务目标，提供有关各种投资的建议和信息以指导他们管理投资组合，从而与客户建立长期关系
• 审查金融期刊、股票和债券报告、商业出版物和其他材料，并在金融行业内建立网络以收集相关信息并为客户确定潜在投资
• 通过为个人投资者、养老基金经理或银行、信托公司和保险公司等公司买卖股票、债券、国库券、共同基金和其他证券来执行投资指令
• 监控客户的投资组合，确保投资交易按照行业规定进行。

经纪人

• 代表投资交易商在证券交易所买卖股票、债券、商品期货、外币和其他证券
• 通过审查投资信息和监控交易大厅的市场状况，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的财务分析师联系，制定交易策略
• 进行买卖证券的出价和要约，并在交易所交易单上完成销售细节
• 准备对投资组合头寸的审查。

• 通常需要经济学、商业或其他学科的学士或硕士学位。
• 可能需要获得认可的财务指定（CFA、CFP、CIM 或其他）。
• 证券销售代表和经纪人需要完成行业投资和销售培训计划并完成许可课程，例如加拿大证券协会提供的加拿大证券课程和行为与实践手册课程，或可接受的替代方案，例如完成一个或多个级别由 CFA Institute 提供的 CFA 课程。
• 专业课程也适用于想要交易特定投资产品（如证券期权和期货合约）的证券销售代表和经纪人。
• 证券代理人、投资交易商和经纪人需取得就业所在省份证监会或经认可的自律组织的许可。

• 随着经验的积累，有可能晋升到相关的管理职位。

• 金融与投资分析师（11101）
• 其他财务人员（11109）
• 保险、房地产和金融经纪经理（10020）

This group performs some or all of the following duties:

Securities agents and investment dealers

• 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
• 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
• 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
• Monitor clients' investment portfolios and ensure that investment transactions are carried out according to industry regulations.

Brokers

• Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
• 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
• Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
• Prepare reviews of portfolios' positions.

• A bachelor's or master's degree in economics, business or other discipline is usually required.
• A recognized financial designation may be required (CFA, CFP, CIM or others).
• Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA Institute.
• 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.
• Licensure by the provincial securities commission in the province of employment or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.

• Progression to related management positions is possible with experience.

• Financial and investment analysts (11101)
• Other financial officers (11109)
• Insurance, real estate and financial brokerage managers (10020)