Securities Agents, Investment Dealers & Brokers

Formal Description

“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.” (NOC 2021)

Sample Job Titles

This category includes a variety of job titles that may not necessarily be reflected by the category title. For a full index of job titles, see the category entry on the ESDC site. Example job titles include:

Foreign Exchange Dealer

Stocks and Bonds Trader

Mutual Fund Sales Representative

Investment Broker

Equity Trader

Annuity Representative - Investments

Trust Services Salesperson

Grain Broker - Commodity Trading

Typical Employment and Education Requirements

The requirements listed for each occupational category will tend to vary across particular roles, job titles, and contexts.

The following typical requirements are listed on the ESDC’s 2021 entry for this occupational category:

A bachelor’s or master’s degree in economics, business or other discipline is usually required.
A recognized financial designation may be required (CFA, CFP, CIM or others).
Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA Institute.
Specialized courses are also available for securities sales representatives and brokers who want to trade in specific investment products such as securities options and futures contracts.
Licensure by the provincial securities commission in the province of employment or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.

Success with a Social Sciences Undergraduate Degree and Beyond

When reviewing typical requirements, please remember:

Degree and diploma listings often end with a purposefully open-ended phrase (“or a related field”, “or a similar discipline”) that acknowledges the variety and applicability of social sciences and liberal arts degrees.
Employers often focus less on the name or title of a candidate’s degree, and more on how they articulate their transferable skills and experiences.
Many qualifications and certifications are available as post-graduate certificates aimed at recent university graduates; these can make an excellent further education option for a social sciences or liberal arts degree.

Explore related Graduate Certificates, Master's Programs, or other relevant avenues for further education.

Learn More

Related Categories

Here are a few other categories that might interest you:

Public Relations, Advertising, & Marketing Professionals

Business Management Consultants

Related Sectors

Whereas Economic and Social Development Canada’s ‘occupational’ categories tend to focus more on the duties and functions that people play in specific roles, exploring careers by ‘sectors’ helps us to sort by employer type, industry, or general field of work. Here are just a few of the sectors that may be relevant to this category:

Careers in Organizations

Careers In Municipalities

Careers in Law and Legal Occupations

Browse More Options by Sector

Academic Program Connections

As you select your program of study and the courses you will take, you can chart a path towards success in this sector from any one of our social sciences departments and programs. Here are just a few examples of academic disciplines that have connections with this sector:

Economics Learn More

Economics teaches how financial systems operate, equipping professionals with knowledge of market trends, resource allocation, and investment strategies. A strong foundation in economics allows professionals to predict market shifts, assess risks, and optimize investment portfolios.

Sociology Learn More

Sociology explores social structures, consumer behaviour, and economic inequalities, helping professionals understand market demographics and investor trends. By integrating sociological perspectives, professionals can anticipate market demands, improve client relations, and enhance financial inclusivity.

Social Psychology Learn More

Social Psychology examines how individuals make financial decisions, shaping investor confidence, risk perception, and market behaviour. A background in social psychology enables professionals to navigate behavioural finance, mitigate investment biases, and enhance decision-making strategies.

Psychology, Neuroscience & Behaviour (PNB) Learn More

PNB provides insights into cognitive biases, risk assessment, and behavioural finance, helping professionals understand investor psychology. By applying behavioural finance principles, professionals can enhance portfolio management, improve investor confidence, and refine financial decision-making.

Browse More Options by Program

Careers & Experiential Education