Day in the life
A Day in the Life of a Financial Services Sales Agent
What financial services sales agents actually do from the start of a shift to the end: the tasks, tools, schedule and realities of the job.
Review overnight markets and research notes. From there, the day usually includes build and manage client relationships, assess clients’ financial goals and risk tolerance, and recommend investments and products. Most work full-time, often more than 40 hours, with early market hours and client meetings.
Hour by hour: a typical shift
No two days are identical, but this timeline reflects a realistic day for a financial services sales agent working full time.
- Review overnight markets and research notes.
- Call clients about market changes.
- Meet a new client about retirement goals.
- Execute trades for client accounts.
- Review portfolios and rebalance where needed.
- Prospect through referrals and events.
- Document client interactions for compliance.
Where financial services sales agents work
Agents work in offices at banks, brokerages and financial firms, mostly at computers and on the phone.
Hours and schedule
Most work full-time, often more than 40 hours, with early market hours and client meetings.
Tasks you’ll do most often
- Build and manage client relationships
- Assess clients’ financial goals and risk tolerance
- Recommend investments and products
- Execute trades and transactions
- Monitor accounts and markets
- Prospect for new clients
- Follow securities regulations and document advice
Tools you’ll use every day
- Trading platforms
- Financial planning software
- CRM systems
- Market data tools
- Spreadsheets
- Compliance systems
The best and hardest parts of the job
What people like
- High earning potential
- Fast-paced financial work
- Client relationships
- Path to wealth management
What’s hard
- Sales pressure
- Licensing exams
- Market stress
- Heavy regulation
You’ll likely thrive if…
- I’m interested in investing
- I like building relationships
- I’m motivated by sales goals
- I can explain complex products
- I handle pressure well
- I want high earning potential
Not sure? Take the free Financial Services Sales Agent fit quiz or the Career Match Quiz.
Staying safe on the job
- Follow FINRA and SEC rules
- Protect client data
- Avoid conflicts of interest
- Manage stress during volatile markets