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Brokerage Clerk

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What They Do

Brokerage Clerks Career Video

About This Career

Performs duties related to the purchase, sale, or holding of securities. Duties include writing orders for stock purchases or sales, computing transfer taxes, verifying stock transactions, accepting and delivering securities, tracking stock price fluctuations, computing equity, distributing dividends, and keeping records of daily transactions and holdings.

This career is part of the Finance cluster Securities and Investments pathway.

A person in this career:

  • Corresponds with customers and confers with coworkers to answer inquiries, discuss market fluctuations, or resolve account problems.
  • Documents security transactions, such as purchases, sales, conversions, redemptions, or payments, using computers, accounting ledgers, or certificate records.
  • Files, types, or operates standard office machines.
  • Performs clerical tasks, such as answering phones or distributing mail.
  • Prepares forms, such as receipts, withdrawal orders, transmittal papers, or transfer confirmations, based on transaction requests from stockholders.
  • Schedules and coordinates transfer and delivery of security certificates between companies, departments, and customers.
  • Monitors daily stock prices and computes fluctuations to determine the need for additional collateral to secure loans.
  • Verifies ownership and transaction information and dividend distribution instructions to ensure conformance with governmental regulations, using stock records and reports.
  • Computes total holdings, dividends, interest, transfer taxes, brokerage fees, or commissions and allocates appropriate payments to customers.
  • Prepares reports summarizing daily transactions and earnings for individual customer accounts.

Working Conditions and Physical Demands

People who do this job report that:

  • You would often handle loads up to 10 lbs., sometimes up to 20 lbs. You might do a lot of walking or standing, or you might sit but use your arms and legs to control machines, equipment or tools.
  • Work in this occupation requires being inside most of the time
  • Work in this occupation involves sitting more than one-third of the time

Working in this career involves (physical activities):

  • Seeing clearly up close
  • Speaking clearly enough to be able to be understood by others
  • Identifying and understanding the speech of another person

Work Hours and Travel

  • Regular working hours and limited travel

Specialty and Similar Careers

Careers that are more detailed or close to this career:

  • Account Administrator
  • Client Associate
  • Client Service Associate
  • Operations Clerk
  • Operations Coordinator
  • Registered Account Administrator
  • Registered Sales Assistant
  • Sales Assistant
  • Sales Trader
  • Trading Assistant


  • Email Support
  • 1-800-GO-TO-XAP (1-800-468-6927)
    From outside the U.S., please call +1 (424) 750-3900
  • North Dakota Career Resource Network
    ndcrn@nd.gov | (701) 328-9733