Top 25
Stock Broker Interview Questions
1. Why are you the best candidate for us?
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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.
wikipedia.org/wiki/Stock_Broker
Stock Broker Interview Questions
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.
 
3.
To achieve the best out of life and keep trying my hardest.
 
4.
In terms of my career goals, I am looking for something that is not only satisfying to me and my interests but is also challenging and rewarding to undertake.
 
5.
My career goal in get a management of high level post.
 
Question
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.
 
3.
My career goals is to make south africa to be proud of me in athlects , running.
 
4.
No, however I worked in positions that required constant interaction with customers.
 
5.
I am good at building long lasting relationship with clients. When working at Bruker Developments, I was in charge of a portfolio of projects from meeting with potential clients, selling our company services, executing the projects and closure.
 
Question
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.
 
3.
I utilize a top down approach. By focusing on the macro events and overall industry, I can find what companies present as the most profitable and become potential investments.
 
4.
By looking at the financial statements and price sheets from stokbrokers.
 
5.
I do research by reading from sources like financial times, bloomberg and a few other sites. I try to read as much as I can and also talk to people involved in the industry who could help me to formulate my own thoughts and analysis.
 
Question
5 of 31
What qualities do you feel are essential to being a successful stock broker?
 
User Submitted Interview Answers
1.
Good @ maths Knowledge in stocks Experience in office Patience.
 
2.
Self confidence, sales skills, good persuasion, communication and negotiation.
 
3.
Financially motivated, tenacity, persistence, hunger, common sense.
 
4.
Patience hard working risk taking a good financial background.
 
5.
Perseverance, analytical, and strong communication skills.
 
Question
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.
 
3.
It is the leading stock broking organisation in botswana. It was established in 1989 and conducted an informal share market until BSE was formed.
 
4.
It survived the 2008 great depression.
 
5.
Success moves is a sales and accounting HR consultancy firm who offers great value for its clients.
 
Question
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.
 
3.
I didnt work in any of the marketing project.
 
4.
Deigning phase, product placement, understand the customer.
 
5.
I am currently working part time with a non profit organization where we have created a complete marketing campaign. From creating a website, establishing practices for corporate updates, using of data analysis, fundraising strategies and financial projections. We are estimating to attract a 30% increase in revenues within the next 12 months.
 
Question
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.
 
3.
I can say that I am a dedicated and goal oriented person that always does what it takes to achieve its goals. I believe that I am a self motivator and give my all to my projects.
 
4.
I am very ambition and hard working and I am very good with dealing with pressure and I graduated with my batchlors in business and finance.
 
5.
I love running and my goal is to become popular, I love training.
 
Question
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.
 
3.
Trading in the stock market in behalf of the company and the clients.
 
4.
Manage my clients' assets.
 
5.
I think stock broker is a high demand role. You not only are responsible for doing transactions like buy and sell for your clients, but you also need to be up to date in the markets and be ahead of the rest on your research. You also need to build your own client list, get to know their goals, and provide the right stock opportunities to meet them. You need to ensure that your client gets a great return for their money.
 
Question
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.
 
3.
I enjoy working under pressure because it helps me to her the best out of me. In fact, I think nobody puts more pressure on me than myself. Like everyone, we may have our stressful moments, but I am good at delivering when working under pressure.
 
4.
Yes. I thrive under pressure.
 
5.
Yes, I ve been under a lot of pressure to meet targets in my previous jobs, and I did quite well.
 
Question
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.
 
3.
Low and negative interest rates are here to stay for longer in the developed world. Talking specifically about the UK, they may go to zero in the short to mid term, in an attempt to stimulate the economy and bring investment into the country by having a weaker pound.
 
4.
They would still be the same interests I've always had, and I'm assuming I'd have some newer interests from working here.
 
5.
If and only if the US economy continues to grow, the Fed may begin to raise the near zero interest rates in correlation with this growth as early as September.
 
Question
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.
 
3.
As I said in my previous answer I am very good with handling pressure from my high school and college athletic experremce.
 
4.
I am able to deliver in most kind of environments. Some are more challenging than others, but with hard work and determination, you can overcome any situation. I usually handle pressure pretty well trying tot are it as encouragement, but sometimes what I need is some time to analyze and process the circumstances in order to come back with a refreshed mentality.
 
5.
I use it to my advantage, the adrenaline from the pressure aids me in taking quick, intelligent decisions based upon my knowledge of what I am doing.
 
Question
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.
 
3.
I want to work for a firm who cares and invest in its people and has the right management to learn from.
 
4.
I want to work for you because I feel that you are a successful company, who can teach me to become an excellent strategic and motivated young broker. I feel that you have the financial success to provide me with a solid job, with a positive, intelligent and motivated team.
 
5.
I see this as the best place for me because it's a well established firm that provides great learning opportunities for employees.
 
Question
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.
 
3.
Yes, I am completely open to talking to new people as I feel that it can only further my communication skills. I am always looking to better my skill set.
 
4.
Yes, I love to make new friends.
 
Question
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.
 
3.
I did my internship at Merril lynch.
 
4.
I consider myself a business savvy. I enjoy business in general and has always been the case. My first own proper business was in university when I went to Alaska to raise some savings and put them to work. I developed a small piece of land and built a house, selling at profit. Then, I reinvested the revenues into a second project increasing my profits.
 
5.
I have had past experience in bartending, sous-cheffing in a prestige chalet in the french alps. I have a good half years experience of being an electricians mate in the labour field, I feel this is what has helped me to learn how to work in a high stress, high pressured environment.
 
Question
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.
 
3.
My first experience after university was with Bruker Developments. It was a very challenging experience as I was also working on establishing myself in a new country, a new culture and a new language. This was a huge learning curve for me, but I have never been afraid to ask for advice and that really helped me. This time really helped me to recognize what I do well and where I need to work on. I am good and building long lasting relationships and I used this to gain some time and set some procedures and plan ahead the challenges.
 
4.
Whilst working as a sous-chef I personally thoroughly enjoyed the experience, though high paced and stressful and through a lot of shouting I learned how to manage through these sort of environments. The fact that I was prepping food for high-end clients meant that it tought me to work at the best of my ability. Through working as an electrician, I also found it a similar but different experience, both being high pressured jobs they taught me how to cope in high pressure environments.
 
5.
My past experience did a lot to introduce me into the business world. I worked as a process officer, which required using a software to track inventory, it wasn't a very challenging role for the level of knowledge I had acquired, I found myself repeating the same things every day with no new challenges.
 
Question
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.
 
3.
Not right now, as the market looks set to crash in the upcoming months, when it does so; that would be the correct time to invest.
 
4.
A little bit of investment can be made in defensive stocks.
 
5.
I don't have to much of experience in trading segment but give me training i well improve my self.
 
Question
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
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.
 
3.
I have had studying experience and work experience abraod. I was interesting being around a new culture and observing the different ways they do things, both in the school and business environment.
 
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?
 
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.
 
3.
Because the industry appeals to me more than flipping burgers for a living. I thrive in high pressure environments and feel like I can better my skill set throughout the experience.
 
4.
Because I have put so much into studying the industry and it has become something of a passion.
 
Question
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.
 
3.
I read about how the country is about to experience a full blown financial crisis and I agreed with the article.
 
4.
I am an avid reader of the WSJ. I read that investors are pushing commercial real-estate prices to record levels. It made me think proceed with caution. The central bank may want to raise interest rates in this market. Will we see another recession? One of equal magnitude to that to 08? 2015 marks the end of the 7 year business cycle. We see volatility in greek markets, volatility in the mideast, ISIS/threats of terror, Chinas slowing market and the looming question of the effects on the American dollar when Chinas currency enters the IMF. I think that the way this story plays into my prospective job as a stock broker is that it is important to read, no matter what you read you are only worth what you know. This is why I will make a great stock broker.
 
Question
22 of 31
Why do you want to work for our firm in particular? What was it about the job posting that attracted you?
 
Question
23 of 31
Would you consider yourself a calculated risk-taker?
 
Question
24 of 31
What is your favorite financial market information resource?
 
Question
25 of 31
If given this opportunity, how would you build trust with our clients?
 
Question
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
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.
 
3.
You must be patient and must have good grasping ability.
 
Question
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.
 
3.
The risk taking ability as well as the learning skill.
 
Question
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.
 
3.
Yes, I have gone into the streets quite a number of time to talk to random people when it seemed the existing customers were a bit slow in responding.
 
Question
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
Does money drive you to succeed? What other factors motivate you?
 
Contributing Author
Rachelle Enns
Recruiter & Freelance Writer

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