Stock Broker Trainee

By | August 24, 2014

If you are hoping to become a stock broker, you should be prepared for a lengthy process before reaching your goal to pursue this career. Read along and discover ways on how you can become a trainee, as well as some essential tips to support you along the way.

Essential Requirements:

Aspiring stock brokers are not required to take a specific course in college before they can take this job. However, having a degree in stockbroker traineeeconomics, business and finance can give you an edge above others who plan to work as a stock broker in top-rated firms.

Generally, your character is more important than any college degree. For instance, you should be willing to be trained and adopt necessary skills for this profession. Moreover, you must be tolerant of others and maintain your calm disposition even when you encounter stressful situations. Having outstanding communication skills and a deep sense of responsibility can also go a long way if you plan to succeed as a stock broker trainee.

Thus, be sure to instill within yourself the right attitude that can help you gain a steady base of clients to support your progress in this career.

How to Become a Stock Broker Trainee: Important Tips You Should Know

Initially, you should submit your application to several firms until you find one company that is willing to give you a hands-on training for the job. In most cases, the period for apprenticeship takes about four months since your skills and competencies will be assessed first by the company. This is also the perfect opportunity for you to determine if being a stock broker is indeed the profession you wish to pursue.

After your on-the-job-training period ends, you can pursue your applications to take the General Securities Registered Representative Licensing Exams. Upon reaching the 70% cut-off mark, you may be required to take another test based on the area of your employment. It is possible for you to take the Series 63 examinations for securities agents.

Towards the end of that period of the on-job training, you can now apply to sit for the General Securities Registered Representative Examination. If you pass this examination with 70% or more marks, there may be another examination for you to sit, depending on the state you are in. This is the Uniform Securities Agents State Law Examination, also known as the Series 63 Exam. After getting the test results, you may find an employment as a stock broker assistant. This way, you can learn more about the duties required from an experienced stock broker. Keep in mind, though, that you may have to wait for years before the company will realize your capability of working on your own.


There are so many things you have to go through before you can become a stock broker trainee. However, by being aware of these steps, you can finally reach your goals of being a professional stock broker, which can help you boost your earning potential. With dedication, the right attitude, continuing education and training, you can become successful in this career.

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