Capital markets

Stockbroker CV: example and template

This example is for licensed securities brokers at brokerage houses, banks and investment firms, and for client advisers and analysts preparing for the broker exam.

The employer wants to know which clients you serve, on which markets you execute orders, how you ensure regulatory compliance and whether you hold a broker licence. We show you how to describe this on your CV.

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Example CV: stockbroker

All the details in this example are fictional. Treat it as a model of layout and wording, and replace the content with your own experience.

Krzysztof Dudek

Stockbroker

Warsaw +48 123 456 789 krzysztof.dudek@example.com

Professional profile

Licensed securities broker on the list of brokers since 2020, with 8 years of experience at a bank's brokerage house. I serve about 350 affluent and institutional clients, take and execute orders on the equity, bond and futures markets and carry out suitability assessments and documentation. The value of my clients' assets grew from PLN 410 million to PLN 620 million, and internal audit found no shortcomings in my service.

Work experience

Stockbroker

03.2020 - present

Bank's brokerage house, Warsaw

  • Serving about 350 affluent and institutional clients.
  • Taking and executing orders on the equity, bond and futures markets.
  • Suitability and appropriateness assessments, documentation in line with regulations.
  • Client assets up from PLN 410 million to PLN 620 million.
  • Work with the research and compliance departments, audits with no shortcomings.

Brokerage client service specialist

07.2017 - 02.2020

Brokerage house, Warsaw

  • Opening brokerage accounts.
  • Handling client instructions.
  • Preparing for the broker exam.

Education

Master's degree, finance and accounting

2012 - 2017

SGH Warsaw School of Economics

Skills

  • Executing orders on the capital market
  • Equities, bonds and derivatives
  • Brokerage account service
  • Suitability and appropriateness assessment
  • Rules on trading in financial instruments
  • Serving affluent clients

Qualifications

  • Securities broker licence, entry on the list of brokers, 2020
  • Financial instruments market rules training, 2023
  • Anti-money laundering training, 2024

Languages

  • English: C1

Additional information

  • Work during stock exchange trading hours

I hereby consent to the processing of my personal data for the purposes necessary to carry out the recruitment process, in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 (GDPR).

How to write a stockbroker CV

Professional summary

Write since when you have held the licence, which clients you serve, on which markets you execute orders and at which institution. Add a result, for example the value of client assets or audits with no shortcomings. The employer is looking for an accurate person who knows the rules and talks to clients well.

Brokerage client service specialist with 3 years of experience. I open brokerage accounts, handle client instructions and have passed the securities broker exam. I am looking for work as a stockbroker.

Experience: duties and achievements

Describe clients, markets, orders, suitability assessment, documentation and work with other departments. Show results in numbers. Do not give client data. Also say which trading systems you work with.

Weaker: Serving clients.

Better: Serving about 350 affluent and institutional clients.

Weaker: Orders.

Better: Taking and executing orders on the equity, bond and futures markets.

Weaker: Regulations.

Better: Suitability and appropriateness assessments, documentation in line with regulations.

Skills worth listing

List markets, instruments, account service, suitability assessment and regulations. In your soft skills show composure, quick decisions and reliability.

Professional skills

  • Exchange orders
  • Equities and bonds
  • Derivatives
  • Brokerage accounts
  • Suitability assessment
  • Market rules

Personal skills

  • Composure
  • Quick decisions
  • Reliability
  • Client communication
  • Discretion

Qualifications

List the broker licence with the year of entry on the list kept by the Polish Financial Supervision Authority and training in regulations. Other finance certificates are worth giving too.

How to become a stockbroker

Most people start in client service at a brokerage house or bank. On your CV show finance studies and how far you are in preparing for the broker exam.

After passing the exam and being entered on the list of brokers you can carry out brokerage activities. Give the exam date or the planned date.

Tailoring your CV to the job offer

A bank's brokerage house looks for serving affluent clients, an institutional brokerage for serving funds and large orders, and an investment firm for work on foreign markets. Move to the top what the job ad is about.

The most common mistakes on a stockbroker CV

Questions and answers

What should a stockbroker put on a CV?

The licence, clients, markets, instruments, orders, suitability assessment, regulations, results and training.

How do you become a licensed securities broker in Poland?

You pass an exam before a board at the Polish Financial Supervision Authority and get entered on the list of brokers.

How does a stockbroker differ from an investment adviser?

A broker takes and executes client orders, and an investment adviser manages portfolios and prepares recommendations.

Which results are worth giving?

The number of clients, the value of their assets, audit results and service quality.

Create a stockbroker CV in the builder

In the CV Majster builder you enter your details step by step and see right away what the document looks like. You can copy the wording from this page and adapt it to yourself. The finished CV as a PDF costs a one-off PLN 5, with no subscription, and you see the preview before you pay.

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See also

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