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 10
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 10
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 10
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 10
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 10
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 10
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 10
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 10
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 10
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.
 
Contributing Author
Rachelle Enns
Recruiter
 
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