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Stockbroker Interview Questions


The primary focus of a Stockbroker is to manage the financial portfolio of a client. Clients can range from individuals to large businesses. Depending on the needs of the client, Stockbrokers can perform different job functions. Stockbrokers can act independently, managing portfolio decisions on the client’s behalf. They can act in a consulting capacity by advising client’s on when they should buy or sell. Or they can act at the client’s discretion, only buying or selling when instructed to.

Buying and selling stocks is not for the faint of heart. They handle vast amounts of money and work personally with their clientele. Stockbrokers must constantly be on the job in order to keep a finger on the pulse of the stock market and must be prepared to make quick decisions in order to turn a profit for clients.


Stockbroker responsibilities may include:

  • Create and update client lists in order to maintain steady business.
  • Conduct market research and analysis. 
  • Give presentations and reports to clients about their investments.
  • Stay on top of daily trends within the market in order to best serve their clients.
  • Buy and sell stocks quickly in order to make the maximum amount of profit possible.


Stockbrokers are expected to be quick-thinking and light on their feet. In order to stay on top of current events and make well informed decisions, a skilled Stockbroker will:

  • Possess superior salesmanship qualities in order to convince potential clients to entrust their money to them.
  • Network both in and out of the job in order to constantly expand their list of clients.
  • Stay up to date on current events as they happen immediately.
  • Communicate effectively with clients in order to best evaluate how their money should be invested.
  • Possess superior time management skills in order to juggle multiple clients while managing day to day tasks.


Most employers will look for applicants with at least a Bachelor’s degree in finance or a related field. However, possessing an MBA will serve to set potential candidates apart from other applicants and help secure higher management roles later on. It varies depending on state, but as general rule, applicants should also plan to test for the FINRA Series 7 and at least the 63 Securities Registration. 

In addition, applicants can make themselves more attractive by seeking professional qualifications with organizations like the Chartered Institute of Management Accountants or the CFA Society. 



  • How do you maintain new accounts and how would you revive a dormant account?

  • Are there any important trends you see in the industry and market? If so, what are they?

  • Why is paper trading used in stock markets?

  • What is the difference between equity financing and debt financing?

  • What is a blue chip stock?

  • How would you explain what the stock market is and how it functions to a new client?