Stockbroker

stock brokerstockbrokersstockbrokingbrokerstock brokeragebrokersbrokeragesharebrokerstock brokingbrokerages
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.wikipedia
667 Related Articles

Brokerage firm

brokeragestock brokeragestock brokerage firm
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission. (FINRA) designation "Registered Representative", obtained by passing the FINRA General Securities Representative Exam (also known as the "Series 7 exam") and being employed ("associated with") a registered broker-dealer, also called a brokerage firm or (in the case of some larger money center broker/dealers) a "wirehouse", typically a FINRA member firm.
Brokerage firms serve a clientele of investors who trade public stocks and other securities, usually through the firm's agent stockbrokers.

Stock exchange

stock exchangesexchangebourse
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.
A stock exchange, securities exchange or bourse, is a facility where stock brokers and traders can buy and sell securities, such as shares of stock and bonds and other financial instruments.

Series 7 exam

Series 7industry examslicensed
In the United States, a stockbroker must pass both the Series 7 and either the Series 63 or the Series 66 exams in order to be properly licensed. (FINRA) designation "Registered Representative", obtained by passing the FINRA General Securities Representative Exam (also known as the "Series 7 exam") and being employed ("associated with") a registered broker-dealer, also called a brokerage firm or (in the case of some larger money center broker/dealers) a "wirehouse", typically a FINRA member firm.
In the United States, stockbrokers take this test to get a license to trade.

Stock

equitiesequityshares
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.
Today, stock traders are usually represented by a stockbroker who buys and sells shares of a wide range of companies on such exchanges.

Share (finance)

sharessharestock
The first stockbroking began in Rome, where the first recorded buying and selling of shares occurred in the 2nd century BCE.
The process of purchasing and selling shares often involves going through a stockbroker as a middle man.

Buttonwood Agreement

agreement
24 stockbrokers signed the Buttonwood Agreement, agreeing to trade five securities under that buttonwood tree.
This agreement was signed by 24 stockbrokers outside of 68 Wall Street.

Registered representative (securities)

registered representativeregistered representatives
(FINRA) designation "Registered Representative", obtained by passing the FINRA General Securities Representative Exam (also known as the "Series 7 exam") and being employed ("associated with") a registered broker-dealer, also called a brokerage firm or (in the case of some larger money center broker/dealers) a "wirehouse", typically a FINRA member firm.
A registered representative, also called a general securities representative, a stockbroker, or an account executive, is an individual who is licensed to sell securities and has the legal power of an agent in the United States.

Broker-dealer

broker-dealersbroker dealerdealers
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission. (FINRA) designation "Registered Representative", obtained by passing the FINRA General Securities Representative Exam (also known as the "Series 7 exam") and being employed ("associated with") a registered broker-dealer, also called a brokerage firm or (in the case of some larger money center broker/dealers) a "wirehouse", typically a FINRA member firm.
Stockbroker

Series 6 exam

Series 6
A "financial advisor" may or may not be a stockbroker, since some Series 6 licensed individuals—who are prohibited from selling stock—have that as their professional title.
A Series 6 registered individual is not a stockbroker since Series 6 license holders cannot sell stock, other corporate securities, direct participation programs (DPPs), or option products.

Investing online

online tradingonline brokerageonline broker
Online broker
Prior to the Internet, investors had to place an order through a stockbroker, in person or via telephone.

Stock market

equity marketstock marketsstock
Stock market
A stock exchange is an exchange (or bourse) where stock brokers and traders can buy and sell shares of stock, bonds, and other securities.

Stock market data systems

quotation boardstock market datastock ticker
Stock market data systems
Stock market data systems communicated market data—information about securities and stock trades—from stock exchanges to stockbrokers and stock traders.

Financial adviser

financial advisorinvestment advisorinvestment adviser
Professional titles similar to that of stockbroker include investment advisor, and financial advisor.
In the United Kingdom, investment advice is given either by a financial adviser or a stockbroker.

Security (finance)

securitiessecuritydebt securities
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.

Institutional investor

institutional investorsinstitutionalInstitutional Investors Alpha
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.

Over-the-counter (finance)

over-the-counterOTCover the counter
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.

Fee

feessurchargeservice charge
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.

Commission (remuneration)

commissioncommissionscommissioned
A stockbroker or share broker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.

Uniform Securities Agent State Law Exam

63Series 63
In the United States, a stockbroker must pass both the Series 7 and either the Series 63 or the Series 66 exams in order to be properly licensed.

Uniform Combined State Law Exam

Series 66Series 66 exam
In the United States, a stockbroker must pass both the Series 7 and either the Series 63 or the Series 66 exams in order to be properly licensed.

Rome

RomanRomaRome, Italy
The first stockbroking began in Rome, where the first recorded buying and selling of shares occurred in the 2nd century BCE.

Renaissance

the Renaissanceearly RenaissanceRenaissance Europe
After Rome fell, stockbroking did not become a realistic career until after the Renaissance, when government bonds traded in Italian city-states such as Genoa or Venice.

Bond (finance)

bondsbondbond issue
After Rome fell, stockbroking did not become a realistic career until after the Renaissance, when government bonds traded in Italian city-states such as Genoa or Venice.

Genoa

GenoeseGenoveseGenova
After Rome fell, stockbroking did not become a realistic career until after the Renaissance, when government bonds traded in Italian city-states such as Genoa or Venice.

Venice

VenetianVenetiansVenezia
After Rome fell, stockbroking did not become a realistic career until after the Renaissance, when government bonds traded in Italian city-states such as Genoa or Venice.