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Stock Broker Interview Questions

31 Stock Broker Interview Questions
Question 1 of 31
Why are you the best candidate for us?
How to Answer
Being competitive and confident are big parts of being a successful as a Stock Broker. Show the hiring manager that you able to be just that! What are your star qualities, and why do you think that you will be the best fit?

Answer Example
"I know that I am the strongest candidate for you because I graduated top in my class. I have top marks in my MBA program so far and have consistently shown my abilities as a leader. In addition to this, I have a very strong history of sales success in previous positions. I am fluent in Cantonese which will also help me tap into that client base very easily."
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Question 2 of 31
What are your short-term career goals?
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How to Answer
If the hiring manager is aware of your short-term career goals, they will better be able to align your goals with the right position within their company. The stronger their understanding of your needs, the better. Be concise in your answer but specific.

Answer Example
"In the next 2 years I aim to have my MBA completed so that I can move up in my career, handling more valuable clients and more in depth financial cases."
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Question 3 of 31
Have you worked in sales before?
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How to Answer
Bring your resume to life for the hiring manager, including your sales experience and results. Be sure to discuss how you feel that these experiences will help you in this role, should you be the successful candidate.

Answer Example
"I have worked in sales for most of my career. I began in high school, selling magazine subscriptions door to door in residential neighborhoods. After graduating from high school, I worked part time as a bank teller while attending university. This role required strong up-selling skills. Since completing university, I have worked my way up in the banking world, always within a sales focused role."
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Question 4 of 31
How do you conduct research on companies and markets?
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How to Answer
Do you spend a lot of time conducting research on industry changes and market trends? Talk to the hiring manager about the tools that you utilized most frequently in order to ensure you are on top of the stock market game.

Answer Example
"In order to stay on top of my market research, I take an hour every morning before the work day begins. I scour my Google Alerts for any new keyword updates. I also follow a variety of RSS feeds and newsletters including BDC Market Research, MarketSmith and MarketWatch. In addition to this, I also subscribe to all newsletters from the top Economists from a variety of financial institutions."
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Question 5 of 31
What qualities do you feel are essential to being a successful stock broker?
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Question 6 of 31
What do you know about our firm?
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Question 7 of 31
Take me through a recent portfolio you have won over.
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Question 8 of 31
Tell me something about yourself that I wouldn't know from reading your resume.
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Question 9 of 31
What are your current responsibilities as a stock broker?
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Question 10 of 31
Give me an example of a time you successfully handled a high pressure situation.
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Author of Stock Broker Answers and Questions

Rachelle Enns
Rachelle Enns is an executive head-hunter and job search expert. Utilized by top executives from Fortune 100 & 500 companies like Fitbit, Microsoft, General Electric, Nestle, and more, she helps professionals position themselves in a competitive marketplace. Rachelle founded Renovate My Resume, a company that focuses on helping job seekers get their edge back. Renovate My Resume creates stand-out resumes, cover letters, LinkedIn profiles and professional summaries for new grads, all the way to corporate executives. Rachelle spends much of her time training career coaches, recruiters, and resume writers. She also holds interview workshops for students and interns, globally. For great tips and tricks, follow Rachelle on Instagram @_rachelle_e or @renovatemyresume.
First written on: 03/13/2014
Last modified on: 08/17/2018

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Question 11 of 31
Where do you predict interest rates going in the next 6 months?
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Question 12 of 31
How do you manage working in a constantly stressful environment?
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Question 13 of 31
Why do you want to work for our Broker Firm?
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Question 14 of 31
Bring your resume to life for me.
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Question 15 of 31
Are you comfortable cold calling? Tell me about any cold calling experience that you have.
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Question 16 of 31
What is your proudest career accomplishment to date?
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Question 17 of 31
Would you buy stock in the market right now?
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Question 18 of 31
Tell me where the DOW closed at yesterday.
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Question 19 of 31
Discuss any experience you have had abroad.
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Question 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?
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Question 21 of 31
What is the most recent business article you have read? What were your thoughts on the story?
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Question 22 of 31
Does money drive you to succeed? What other factors motivate you?
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Question 23 of 31
Why do you want to work for our firm in particular? What was it about the job posting that attracted you?
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Question 24 of 31
Would you consider yourself a calculated risk-taker?
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Question 25 of 31
What is your favorite financial market information resource?
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Question 26 of 31
If given this opportunity, how would you build trust with our clients?
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Question 27 of 31
What is the largest portfolio you have managed?
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Question 28 of 31
How would you market yourself? Why is that an important part of being a stock broker?
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Question 29 of 31
What do you enjoy about sales?
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Question 30 of 31
Are you comfortable generating leads? Tell me about your experience doing so.
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Question 31 of 31
How would you describe your sales technique?
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About Stock Broker

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.

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