NOC 1113 – Securities agents, investment dealers and brokers



Securities agents and investment dealers buy and sell stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers, banks, trust companies, insurance firms and other establishments. Brokers buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers. They are employed by investment companies, stock brokerage firms, stock and commodity exchanges and other establishments in the securities industry.

Progression to related management positions is possible with experience.

Main Duties

Securities agents and investment dealers perform some or all of the following duties:

  • Develop long-term relationships with their clients by preparing investment strategies to help them achieve their financial goals, offering advice and information on various investments to guide them in managing their portfolios
  • Review financial periodicals, stock and bond reports, business publications and other material, and develop a network within the financial industry to gather relevant information and identify potential investments for clients
  • Carry out investment orders by buying and selling stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers or companies such as banks, trust companies and insurance firms
  • Monitor clients’ investment portfolios and ensure that investment transactions are carried out according to industry regulations.

Brokers perform some or all of the following duties:

  • Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
  • Develop trading strategies by reviewing investment information and monitoring market conditions from the exchange floor and through contact with trading departments of other investment firms, pension fund managers and investment company financial analysts
  • Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
  • Prepare reviews of portfolios’ positions.

Employment Requirements

  • A bachelor’s or master’s degree in economics, business or other discipline is usually required.
  • Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of the Canadian Securities course and the Registered Representative Manual Exam offered by the Canadian Securities Institute.
  • Specialized courses are also available for securities sales representatives and brokers who want to trade in specific investment products such as securities options and futures contracts.
  • Licensure by the provincial securities commission in the province of employment is required for securities agents, investment dealers and brokers.

All Titles

  • agent, securities
  • annuity representative – investments
  • arbitrager
  • bond broker
  • bond dealer
  • bond trader
  • broker
  • broker, investments
  • commodity broker
  • commodity trader
  • dealer, foreign exchange
  • discount broker
  • equity trader
  • financial broker
  • floor trader – commodity exchange
  • floor trader, stock exchange
  • foreign exchange dealer
  • foreign exchange trader
  • futures trader
  • grain broker
  • grain broker – commodity trading
  • grain trader
  • independent floor trader
  • investment broker
  • investment dealer
  • investment representative
  • money market trader
  • mutual fund broker
  • mutual fund sales agent
  • mutual fund sales representative
  • options trader
  • registered investment representative
  • registered representatives supervisor
  • representative, securities
  • sales agent, securitiessalesman, securities, saleswoman, securities, securities salesman, securities saleswoman
  • salesman/woman, securities
  • securities agent
  • securities representative
  • securities sales agent
  • securities salesman/woman
  • securities trader
  • stock exchange floor trader
  • stockbroker
  • stocks and bonds trader
  • supervisor, registered representatives
  • trader, foreign exchange
  • trader, stocks and bonds
  • trust services salesman/woman


  • Financial and investment analysts (1112)
  • Financial brokerage managers (See 0121 Insurance, real estate and financial brokerage managers)
  • Other financial officers (1114)



Processing Time

Program Categories Online On Paper
Canadian visa application processing time
Temporary Resident Visa
69 Days 69 Days
Visitor Record
193 Days 163 Days
Super Visa 127 Days 127 Days
Study Permit Made Outside Canada
9 Weeks 9 Weeks
Study Permit Made Intside Canada
4 Weeks 4 Weeks
Study Permit Extension 91 Days 108 Days
Post Graduation Work Permit Made Outside Canada 57 Weeks 57 Weeks
Post Graduation Work Permit Made Inside Canada 167 Days 78 Days
Briding Open Work Permit
167 Days 78 Days
Canadian immigration application processing time
Express Entry
21 Months 21 Months
Provincial Nominee Program
22 Months 22 Months
Self-employed Immigration
42 Months 42 Months
Federal Skilled Worker Program
29 Months 29 Months
Start-up Visa
32 Months 32 Months
Spouse/CommonLaw Sponsorship
14 Months 14 Months
(Grand) Parents Sponsorship
38 Months 38 Months
Canadian Citizenship/PR Card processing time
24 Months 24 Months
PR Card
92 Days 92 Days
PR Card Renewal
84 Days 84 Days

Recent Posts


About Us

We are a licensed immigration company that can legally represent clients in applying for study, work, visitor visa and immigration in Canada. We are composed of a number of licensed immigration consultants approved by the Canadian immigration regulatory authorities. Our business categories include Canadian skilled immigration, express entry immigration, sponsorship immigration, and self-employed immigration. Our characteristics: sincere and attentive, professional and efficient, low prices, high success rate, transparent information.