41-3031.00 · Learning planner
Securities, Commodities, and Financial Services Sales Agents: a task-based learning plan
Buy and sell securities or commodities in investment and trading firms, or provide financial services to businesses and individuals. May advise customers about stocks, bonds, mutual funds, commodities, and market conditions.
Explore the complete task inventory first →
Understand the profile before choosing priorities
The table shows the ten highest importance ratings among 27 skills with usable ratings. Skills tied on importance can share a rank. Importance (1–5) and level (0–7) describe different dimensions. A level of 4 is not 4/7 of a course, and neither scale is your personal score. Source dates refer to the underlying rating, not the database release date.
| Skill | Importance / 5 | Level / 7 | Rating date |
|---|---|---|---|
| Active Listening | 3.75 | 3.88 | 08/2022 · Analyst |
| Critical Thinking | 3.75 | 3.75 | 08/2022 · Analyst |
| Monitoring | 3.62 | 3.75 | 08/2022 · Analyst |
| Judgment and Decision Making | 3.62 | 3.50 | 08/2022 · Analyst |
| Reading Comprehension | 3.50 | 3.75 | 08/2022 · Analyst |
| Speaking | 3.50 | 3.75 | 08/2022 · Analyst |
| Active Learning | 3.50 | 3.75 | 08/2022 · Analyst |
| Persuasion | 3.50 | 3.62 | 08/2022 · Analyst |
| Writing | 3.38 | 3.50 | 08/2022 · Analyst |
| Complex Problem Solving | 3.38 | 3.50 | 08/2022 · Analyst |
Anchor the plan in an actual task
Choose one reported task you want to understand better. Then choose one to three skills and describe an appropriate learning activity, evidence you will review and a date. For practical work requiring authorization, choose relevant coursework, observation or supervised training.
Active Listening
Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Answer inquiries regarding credit references
Level 2: Take a customer's order
What would you ask the other person to clarify, and how would you confirm you understood?
Critical Thinking
Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Evaluate customer complaints and determine appropriate responses
Level 2: Determine whether a subordinate has a good excuse for being late
What assumption could change your conclusion, and what evidence would you check first?
Monitoring
Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Monitor a meeting and revise the agenda to ensure important topics are discussed
Level 2: Proofread and correct a letter
What result or exception would you inspect during the task, and when would you revisit it?
Judgment and Decision Making
Considering the relative costs and benefits of potential actions to choose the most appropriate one.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Evaluate a loan application for degree of risk
Level 2: Decide how scheduling a break will affect work flow
Which options, constraints and consequences would you compare, and what could change the choice?
Reading Comprehension
Understanding written sentences and paragraphs in work-related documents.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Understand an email from management describing new personnel policies
Level 2: Read step-by-step instructions for completing a form
Which instruction, constraint or exception in a document would you need to explain accurately?
Speaking
Talking to others to convey information effectively.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Interview applicants to obtain personal and work history
Level 2: Greet tourists and explain tourist attractions
How would you explain the task, audience needs and next step in a short conversation?
Active Learning
Understanding the implications of new information for both current and future problem-solving and decision-making.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Determine the impact of new menu changes on a restaurant's purchasing requirements
Level 2: Think about the implications of a news article for job opportunities
What new information would change your approach, and how would you record the change?
Persuasion
Persuading others to change their minds or behavior.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Convince a supervisor to purchase new office equipment
Level 2: Solicit donations for a charity
What evidence would help an audience evaluate your proposal without hiding its tradeoffs?
Writing
Communicating effectively in writing as appropriate for the needs of the audience.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Write an email to staff outlining new directives
Level 2: Write down a guest's order at a restaurant
What document would another person need, and how would you check that they could act on it?
Complex Problem Solving
Identifying complex problems and reviewing related information to develop and evaluate options and implement solutions.
Read the scale examples
These generic examples illustrate the level scale. They are not required activities for securities, commodities, and financial services sales agents.
Level 4: Redesign a floor layout to take advantage of new manufacturing techniques
Level 2: Lay out tools to complete a job
How would you separate the problem into parts and compare possible explanations?
Review the result
Your plan should explain why the selected skills matter for your chosen task, what you will do next and what evidence you will examine. Revisit the plan after that activity. Completing a worksheet or matching an occupation’s ratings does not establish professional competence.
Keep your worksheet
Download before leaving this page. Unsaved writing remains only in the page and is cleared on refresh. Notes and learning actions are not sent to a server. This guide describes an occupation and supports study planning; it does not provide clinical, legal or equipment-operating procedures.
Source and practice material
Occupational context uses the O*NET® 31.0 Database from the U.S. Department of Labor, Employment and Training Administration, under CC BY 4.0. View the occupation.
Skill Workbench selected and adapted the occupational information and added its own fictional cases, calculations, guidance and worksheets. USDOL/ETA has not approved, endorsed or tested these additions. O*NET® is a trademark of USDOL/ETA.