Top 25 Stock Broker Interview Questions
1. Why are you the best candidate for us?
Professional Answer
List of Stock Broker Interview Questions
- Why are you the best candidate for us?
- What are your short-term career goals?
- Have you worked in sales before?
- How do you conduct research on companies and markets?
- What qualities do you feel are essential to being a successful stock broker?
- What do you know about our firm?
- Take me through a recent portfolio you have won over.
- Tell me something about yourself that I wouldn't know from reading your resume.
- What are your current responsibilities as a stock broker?
- Give me an example of a time you successfully handled a high pressure situation.
- Where do you predict interest rates going in the next 6 months?
- How do you manage working in a constantly stressful environment?
- Why do you want to work for our Broker Firm?
- Are you comfortable cold calling? Tell me about any cold calling experience that you have.
- Bring your resume to life for me.
- What is your proudest career accomplishment to date?
- Would you buy stock in the market right now?
- Tell me where the DOW closed at yesterday.
- Discuss any experience you have had abroad.
- Our industry has a very high turn over rate. Why do you feel you will be one to make it long-term in this industry?
- What is the most recent business article you have read? What were your thoughts on the story?
- Why do you want to work for our firm in particular? What was it about the job posting that attracted you?
- Would you consider yourself a calculated risk-taker?
- What is your favorite financial market information resource?
- If given this opportunity, how would you build trust with our clients?
- What is the largest portfolio you have managed?
- How would you market yourself? Why is that an important part of being a stock broker?
- What do you enjoy about sales?
- Are you comfortable generating leads? Tell me about your experience doing so.
- How would you describe your sales technique?
- Does money drive you to succeed? What other factors motivate you?
Stock Broker Information
December 22nd, 2014
A stock broker or stockbroker is a regulated professional broker who buys and sells shares and other securities through market makers or Agency Only Firms on behalf of investors. A broker may be employed by a brokerage firm.
wikipedia.org/wiki/Stock_Broker
A stock broker or stockbroker is a regulated professional broker who buys and sells shares and other securities through market makers or Agency Only Firms on behalf of investors. A broker may be employed by a brokerage firm.
wikipedia.org/wiki/Stock_Broker
Stock Broker User Submitted Interview Answers
Question
1 of 31
1 of 31
Why are you the best candidate for us?
User Submitted Interview Answers
1.
Because I am the best candidate.
2.
Because I'm happy and willing to work my hardest.
Question
2 of 31
2 of 31
What are your short-term career goals?
User Submitted Interview Answers
1.
I would love to complete my training within a year, to qualify as a stockbroker and then in the distant future maybe start a company of my own.
2.
My career goals at present is to move into a similar role of intermediary but within the investment industry as a broker. This is because of the fast paced, intensive environment that I am used to working in along with my growing interests of the financial markets and the ability to work with industry experts. Over the course of next 5 years I intend to move from an execution for clients in to Discretionary services; managing portfolios for clients.
Question
3 of 31
3 of 31
Have you worked in sales before?
User Submitted Interview Answers
1.
Yes, I have worked in sales and managed a team also.
2.
I did an internship at the merril lynch firm and learned many things about sales.
Question
4 of 31
4 of 31
How do you conduct research on companies and markets?
User Submitted Interview Answers
1.
I research company and markets mostly through Internet and libraries.
2.
By checking indices. Reading the FT and other reliable media sources. Conducting research on the companies: Calling them, asking competitors etc.
Question
5 of 31
5 of 31
What qualities do you feel are essential to being a successful stock broker?
User Submitted Interview Answers
1.
Financially motivated, tenacity, persistence, hunger, common sense.
2.
Perseverance, analytical, and strong communication skills.
Question
6 of 31
6 of 31
What do you know about our firm?
User Submitted Interview Answers
1.
One of the tops very competitive and successful.
2.
You specialize in handling stocks for your clients.
Question
7 of 31
7 of 31
Take me through a recent portfolio you have won over.
User Submitted Interview Answers
1.
As I have work as a retail customer dealer for my profit, I bought a couple dozen of a particular goods and products or a stock and purchase it with a price with an acceptable discount as one of the regular wholesale buyers and then I sold them with a market price or according to situation arouse I try to manage them for my own benefit as I sold retaily.
2.
In my internship I marketed many different thing for different companies for the firm.
Question
8 of 31
8 of 31
Tell me something about yourself that I wouldn't know from reading your resume.
User Submitted Interview Answers
1.
I was born to an international family that traveled to various parts of the world including North America, Mexico, Singapore and various parts of Europe. Although my father was a Chemical Engineer, he is now an entrepreneur in sustainable energy. My step-father is a perfumer. I spent the majority of my high school years studying business and decided to make the switch after my military service as a sergeant in Singapore to further my studies in Engineering and later Computer Science. Because of my service background and outgoing personality, I decided to make the switch to sales during my studies in Engineering thus acquiring invaluable skills in negotiation and persuasion. Because of this, my connections to the banking world as well as my passion for the stock markets; I wanted to dedicate the rest of my life to the banking industry. Like I said before, I am the kind of person who wants to take control of his life to make it something more than just ordinary. I want to be extra ordinary.
2.
I am young man looking to push my self to the limits and challenge my abilities on the stock market by being competitive and determined to strive above others.
Question
9 of 31
9 of 31
What are your current responsibilities as a stock broker?
User Submitted Interview Answers
1.
To trade the stock while the time has provide me an opportunity to transact and transfer the securities from different brokerage firm and take all the purchase stock as a venture.
2.
To market companies products and sell stocks.
Question
10 of 31
10 of 31
Give me an example of a time you successfully handled a high pressure situation.
User Submitted Interview Answers
1.
Yes, when there is pressure my cerreblum provides me a full concentrated power with a tension that if I don't execute my duty I don't find myself stable and I usually do things under pressure since my highschool.
2.
Yes I work very well underpressure because I previously was an athlet in high school and college and I have had many different experiences with pressure.
Question
11 of 31
11 of 31
Where do you predict interest rates going in the next 6 months?
User Submitted Interview Answers
1.
We are living in a very particular time where low interest rates are here to stay for longer, even going into negative territories. Talking specifically about the UK, I think they can go lower to almost 0% in the short-mid term in attempt to stimulate the economy with low cost borrowing after Brexit.
2.
They will either stay nearly the same or imcrease.
Question
12 of 31
12 of 31
How do you manage working in a constantly stressful environment?
User Submitted Interview Answers
1.
I usually take pressure as a motivation factor. I have ability of delivering when I'm under pressure and keep focus when things get stressful.
2.
I work very well in stressful situations I stay always calmed.
Question
13 of 31
13 of 31
Why do you want to work for our Broker Firm?
User Submitted Interview Answers
1.
I want to work for a firm where I can learn from, a firm who values its people and invest in them. I believe your firm offers uncapped opportunities for me to develop in my personal life and my career.
2.
I believe I have the right skill set and your firm will be a good fit for me.
Question
14 of 31
14 of 31
Are you comfortable cold calling? Tell me about any cold calling experience that you have.
User Submitted Interview Answers
1.
I am not afraid to doing what it takes to achieve my goals. You have about 50% changes of a yes or a no, and I will take the risk for the 50% chance of the yes.
2.
I don't have any problem to talking with strangers if its what I need to do to meet my goals. You always have a 50% chance to get a yes and 50% chance to get a no as an answer. I think I am ok taking the risk.
Question
15 of 31
15 of 31
Bring your resume to life for me.
User Submitted Interview Answers
1.
As I mentioned earlier, I have an active car rental business running, which I started up when I was in my last year of secondary school. I have experience in controlling staff, organising how the business is running, keeping everything up to date.
2.
I consider myself a business savvy. Since I was in university, I have always being involved in finding business opportunities. During my last year, I was able to raise some savings and invest them into a housing project. I built a house and sold at profit, then reinvested the revenues into a second project. That was my first business experience on my own.
Question
16 of 31
16 of 31
What is your proudest career accomplishment to date?
User Submitted Interview Answers
1.
The position is looking for someone that is self-motivated. At WorkTech, most of my job required independent action. I spent over a year working diligently every day until the release of ProgramX. You are also looking for someone with proficiency in both DataNet and Organizware. When I was at Worktech, I was skilled with ResearchSoft, which is a program similar to Datanet, and I have experience with Spreadware, which is a client management program based off the same coding as Organizeware.
2.
During my internship I was given many different tasks and I handled them very well and was very calm even in stressful situations.
Question
17 of 31
17 of 31
Would you buy stock in the market right now?
User Submitted Interview Answers
1.
In this current volatile market, I would not buy stocks as it is highly risky.
2.
Yes, I would. There is always opportunities, you just need to be flexible enough to modify your strategy. Right now, you need to be cautious though as markets are moving very fast.
Question
18 of 31
18 of 31
Tell me where the DOW closed at yesterday.
User Submitted Interview Answers
1.
It closed higher than some days but lower than others.
Question
19 of 31
19 of 31
Discuss any experience you have had abroad.
User Submitted Interview Answers
1.
Having worked in Mexico, Canada and now the UK, I definitely provide a broad mindset. My first job after school was when I moved to Canada where I faced challenges like, language, immigration, experience, and more. Even though it was not easy, I wouldn't changed that tough time. After almost 3 years, I took on a next journey and move to the UK. Different challenges but still exciting. I came here with the goal of getting into the financial sector and there is no better place in the world for that than London.
2.
I worked in a prestige chalet in Morzine, france. I have experience in preparing food as a sous-chef and Bartending skills. Any B2C marketing design with said company was done from Surrey, england.
Question
20 of 31
20 of 31
Our industry has a very high turn over rate. Why do you feel you will be one to make it long-term in this industry?
User Submitted Interview Answers
1.
My aim is to apply my skills which I believe are unique in a sense of the attributes I hold as an individual that I can contribute to a company.
2.
The bigger the dream, the more challenging it is. But also, the more satisfaction and reward you get.
Question
21 of 31
21 of 31
What is the most recent business article you have read? What were your thoughts on the story?
User Submitted Interview Answers
1.
I read many articles in a day. This is also a hobby for me. I think if I was to pick one, I would pick one from the financial times about the canadian housing markets. Its fascinating to think about what I would do if I was part of the regulators. They have such a diverse economy in every province that applying the same kind of monetary policies is creating instability within the country.
2.
I read an article regarding our potential departure of the european union, and how it will put an impact on UK businesses. The article was mainly talking about whether or not it would massively affect Large UK businesses and how they were unanimous on the decision. For me personally I feel that it could damage a lot of UK businesses who deal in clients that are abroad or even have offices/firms in europe.
Question
22 of 31
22 of 31
Why do you want to work for our firm in particular? What was it about the job posting that attracted you?
User Submitted Interview Answers
1.
I like the competitiveness, the salary option and also the challenge.
Question
23 of 31
23 of 31
Would you consider yourself a calculated risk-taker?
User Submitted Interview Answers
1.
Sometimes yes but I am more risk-averse.
Question
24 of 31
24 of 31
What is your favorite financial market information resource?
Question
25 of 31
25 of 31
If given this opportunity, how would you build trust with our clients?
User Submitted Interview Answers
1.
I will ensure to keep my knowledge up to date and also doing my best in representing the company's name and reputation. I believe this is essential.
Question
26 of 31
26 of 31
What is the largest portfolio you have managed?
User Submitted Interview Answers
1.
I'm afraid I cannot do that.
Question
27 of 31
27 of 31
How would you market yourself? Why is that an important part of being a stock broker?
User Submitted Interview Answers
1.
I market myself as an open, confident, intelligent, driven young man. This is important because these are the qualities people look for. Nobody wants a slacker who can't pull their own weight around.
2.
Because people need to develop confidence in the person handling their investments.
Question
28 of 31
28 of 31
What do you enjoy about sales?
User Submitted Interview Answers
1.
Its a fundamental part of every business. I enjoy interacting with people and I see every sale as a new partnership that I can learn from.
2.
Selling things is an accomplishment to me, I feel that by doing this I am not only bettering myself by potentially making money I feel like I am bettering the clients interests by pursuing what they want too.
Question
29 of 31
29 of 31
Are you comfortable generating leads? Tell me about your experience doing so.
User Submitted Interview Answers
1.
I am great at gaining the clients trust and if your client is satisfied, the leads will come. Your costumer service is where you generate the most leads.
2.
I have no prior experience in generating leads but if I have anything to go by, it's that whilst working as a bartender in a chalet, I have managed to talk customers into buying the more expensive and perhaps more tasteful drinks.
Question
30 of 31
30 of 31
How would you describe your sales technique?
User Submitted Interview Answers
1.
Don't over promise and under deliver. Always be available for your client. Always listen to your client first.
2.
I feel that the best technique is to be polite, curt and well spoken. This draws people in by getting them to trust you as they feel like you are on a similar level to them.
Question
31 of 31
31 of 31
Does money drive you to succeed? What other factors motivate you?
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Top 10 Stock Broker interview questions, as voted by our visitors! Created on March 11th, 2016