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Noc Code 11103 - Securities agents, investment dealers and brokers

Securities agents and investment dealers buy and sell stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers, banks, trust companies, insurance firms and other establishments. Brokers buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers. They are employed by investment companies, stock brokerage firms, stock and commodity exchanges and other establishments in the securities industry.

  • Illustrative example(s)

    • bond dealer
    • broker
    • commodity broker
    • discount broker
    • floor trader - commodity exchange
    • foreign exchange trader
    • investment dealer
    • mutual fund broker
    • mutual fund sales representative
    • registered investment representative
    • registered representatives supervisor
    • securities agent
    • securities sales agent
    • securities trader
    • stockbroker
  • Exclusion(s)

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


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