How about a stockbroker? Expert guidance

A securities broker is a businessman who acts as an intermediary between buyers and sellers in securities trading and receives commission. The most important feature of securities firms is that they don't buy and sell securities for themselves, but only buy and sell and match transactions for others in securities trading.

According to the provisions of the Securities Law, securities companies buy and sell securities on behalf of customers and engage in intermediary business, which are securities brokers with legal person qualifications. Securities brokerage business is the main business of securities companies, and the main body of securities brokerage business is securities brokers.

As a qualified securities broker, you must have three conditions: first, a deep understanding of the securities market; Second, rich experience; Third, have a good professional ethics. "

In the traditional investment model, we must first learn how to recommend brands to brokers of securities companies, and then do other operations. This practice now seems obviously incompatible with the network age. In this way, a large number of new generation brokers in the internet age have also made great achievements. Most of these new generation securities brokers are engaged in the consulting business of investment-related knowledge and information. They are a group of energetic investors who can roam the network freely, which makes the former brokers sit up and take notice.

[Edit] Classification of securities brokers

According to the legal person standard, it can be divided into individual brokers and legal person brokers.

1, personal broker

Individual brokers must have a certain degree of education, credibility, rich business experience and asset guarantee. They can independently undertake the intermediary business of stock trading and collect commissions according to regulations.

2. Company brokers

Company brokers are legally registered financial institutions such as banks, trust companies, securities companies, investment companies and finance companies with certain qualifications, and their qualifications are the same as those of individual brokers.

According to the nature and function of brokers, they can be divided into five categories:

1, gold brokers (also known as securities companies)

This is a broker who accepts clients' entrustment, buys and sells securities on behalf of clients, and receives commission. He can be an individual broker or a company broker, and can conduct both on-site and off-site transactions. The main function is to be responsible for the required business operation, financial scheduling and investment promotion.

2. Binary agent

Binary broker is an independent individual broker specially entrusted by commission broker to raise funds and buy and sell securities for investors.

3. Special brokers (also known as professional brokers)

A special broker is a broker who specializes in buying and selling securities in a certain industry and is entrusted by a commission broker to become a broker. He is a broker who trades in all special positions and has a fixed trading desk to buy and sell certain stocks. He has the dual identity of broker and securities dealer, and can also run retail business.

4. Stockbrokers

A stockbroker refers to a broker who specializes in buying and selling small stocks below 1 lot (100 shares) for fundraisers and investors.

5. Brokers on the trading floor

Brokers in the trading hall are brokers who cooperate with securities companies to trade. When a securities company receives orders with different types and large amounts, and it is difficult to complete the transaction in a short time, the dealer asks the broker in the trading hall to assist in the transaction and pay certain commissions and fees.

[Editor] Functions of Securities Brokers

Intermediary function:

1. Help investors understand the operation of securities and securities markets, and introduce the nature, characteristics and risks of various securities, as well as the knowledge of securities laws and regulations. At present, China's securities market is still in the early stage of development, and many investors or potential investors know little about securities and securities markets. Providing this service for investors is an important function of securities brokers. It is not only conducive to expanding the trading scale of the securities market, but also conducive to the standardized and stable development of the securities market.

2. Provide investors with an analysis report on the investment value of securities such as stocks. On the basis of collecting basic information of securities, securities brokers analyze macroeconomic operation, industry situation and enterprise microeconomics, and make technical analysis according to securities trading information to provide investors with basic analysis reports and technical analysis reports of securities.

3, according to the financial situation of investors (customers), career prospects, age and attitude towards risks, to make investment plans for investors, to help investors determine the investment objectives and the types of securities, investment methods, investment cycles and investment opportunities suitable for investors, but the decision should be made by investors themselves.

4. Providing securities trading services for investors. Send trading information to securities brokerage companies according to investors' investment instructions.

Investment management function

Generally speaking, securities brokers can only give advice to investors, and investment decisions are made by investors themselves. However, securities brokers can also be allowed to accept the full authorization of customers and make investment decisions on behalf of investors. The main reason why securities brokers are allowed to provide investment management services is that securities brokers are professionals in the securities market. They have more knowledge, experience and skills in securities analysis and securities investment management than investors, so they can make better investment decisions.

Although the investment management function (discretion) improves the investment efficiency for investors, it also leads to the situation that brokers blindly increase the securities trading volume in order to increase the commission, which makes investors suffer losses. Therefore, the investment management function of securities brokers should be strictly regulated. It is an effective measure to strengthen supervision to implement the qualification confirmation system for securities brokers to provide investment management services.

The securities market has entered the era of brokers.

(2005-03-02 09:24:02)

Nanjing Daily reported that after the Spring Festival, the competition for customers in Nanjing securities industry started again. Many business departments advertise for a large number of securities brokers in newspapers, radio, television or business halls. Min 'an Securities, which just settled in Nanjing this week, claimed that the sales department was specially built for brokers.

It is understood that if a new securities business department is established and 5,000 customers are developed, the investment amount should be at least150,000 yuan. Recruiting a team of securities brokers can also achieve the goal as long as it invests more than 654.38+10,000 yuan to solve the trading venue. At present, each of the 88 securities business departments in Nanjing has an average of 8 brokers, accounting for more than one-third of the total number of employees in the business department. With the growing ranks of brokers, the securities industry has gradually entered the era of brokers.

■ The product of securities companies' cost reduction.

Securities brokers began to appear after the 200 1 stock market entered an unprecedented bear market. In order to reduce costs, many securities companies entering the loss ranks actively introduce "cheap labor" while "shifting risks" to make a living, and the ranks of securities brokers have grown rapidly.

At present, the entry threshold of securities brokers is not high, and most brokers have no personnel and file relationship with securities companies. They belong to the supernumerary staff of the securities company. The income is mainly the basic salary plus commission. In Nanjing, the basic salary of general securities companies to brokers is around 500 yuan, and the commission is about 10%-30%. A good broker can earn thousands of yuan a month, and the difference is three or five hundred yuan. When the market is depressed, many brokers earn less than 600 yuan.

The main task of securities brokers is to help the sales department develop customers, which is the bridge between the sales department and customers. So many brokers call their job "crossing the bridge". They usually don't call themselves brokers, and the titles on their business cards are like "investment consultant", "account manager" and "financial broker".

■ Brokers come from all walks of life.

Although the threshold for securities brokers is not high, it is not easy to do this job well.

At present, there are probably the following types of securities brokers: one is a full-time investor with certain experience in stock trading and high yield. Such brokers are also called folk experts. Because they are well-known in their respective business departments, a group of retail investors often gather around them, and many folk experts also use this customer resource to transform into full-time securities brokers.

Yang is a broker of Huatai Securities. He used to be an ordinary worker in a factory, speculating in stocks in his spare time. Because of his unique stock selection method, more and more retail investors follow him in stock trading. In 2003, Yang simply quit his job in the factory and became a full-time agent.

In addition to folk stock experts, there is also a class of college students who have just entered the society. They have a strong interest in securities and have their own understanding of the securities brokerage industry.

Peng Zhen, who works as a securities broker in Nanjing Securities, has been involved in the stock market since university. After graduating from college, he used his knowledge of securities and marketing to become a full-time securities broker. He said that securities brokers are under great pressure, but they have a great sense of accomplishment. His present job is "painful and happy".

■ There are also those who take the initiative to jump out of the "besieged city"

There is also a special kind of brokers, who come from securities companies. As Mr. Qian Zhongshu said in Fortress Besieged, "People in the city want to come out and people outside the city want to go in."

After 10 years of baptism, a group of outstanding talents in the securities market have also begun to come out and become full-time brokers. Such brokers generally have certain financial resources and popularity. After leaving, I prefer to set up a personal studio, and then cooperate with securities companies in the name of the studio to help securities companies attract and develop potential customers.

Gu Min of Xintai Securities, 1994, joined the securities company and was the first generation stock critic in Nanjing. Recently, he quit his job and set up a studio. When the reporter called him, his first sentence was: "I went to sea." You did a good job in the securities company. Why did you become a broker in the sea? Gu Min said that he has been engaged in securities for 10 years, and he felt that the securities market in China was still full of hope. However, at present, the business model of China's securities companies is still based on blindly attracting customers, and the commission assessment is also the main indicator for employees, which is far from the after-sales service of customers. With China's entry into WTO, China's securities companies will inevitably be impacted by foreign counterparts, and the reshuffle of securities companies will be inevitable in the next 3-4 years. He inspected foreign business models and felt that the future development direction is to guide customers to rationally invest in brokerage talents. Gu Min predicted that in the next few years, a large number of outstanding talents in securities companies will leave their jobs and become real brokers.

■ Foreign brokers are prevalent.

In foreign countries, securities brokers are a demanding and well-paid profession. Generally speaking, every customer will basically choose a broker for life, and even when the broker changes companies, the customer will leave the original company with the broker. Merrill Lynch and other internationally renowned companies will try to retain brokers with very generous treatment. In addition, foreign securities brokers are more brokers, and the establishment of brokers is very demanding. Brokers will rate brokers every year, and if a broker cheats customers, he will be disqualified. Unlike our agent, he is alone at present. Therefore, in this respect, there is great room for the development of China's securities brokers.