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Definition of 'Brokerage Supervisor'
A brokerage company employee who appoints, trains and manages brokers and who sells the company's products to those brokers, who then sell them to clients. The brokerage supervisor must also ensure company service standards and manage workflow processes. Brokerage supervisors can work in several fields, as several different types of businesses use the brokerage company format, including insurance, real estate and financial products.
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Investopedia explains 'Brokerage Supervisor'
A good brokerage supervisor should have attention to detail, solid mathematical skills, an accounting background, leadership ability, strong customer service skills and previous experience with commission sales.
Some brokerage supervisors who fail to properly supervise their brokers (such as by conducting formal annual audits) and who fail to establish and/or enforce the insurance company's policies are subject to enforcement action by the Securities and Exchange commission if the broker engages in fraud. Such enforcement actions may include fines and being barred from holding a supervisor position in the insurance and financial industry.
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Search results for 'Brokerage Supervisor'
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http://www.investopedia.com/articles/pf/07/negotiation_tips.asp
... Glenn Curtis. Glenn Curtis. Glenn Curtis started his career as an equity analyst
at Cantone Research, a New Jersey-based regional brokerage firm. ...
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http://www.investopedia.com/articles/mutualfund/08/breakpoints.asp
... instances, your best course of action is to put your complaint in writing and send
it to your broker's supervisor. When a registered brokerage house receives a ...
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http://www.investopedia.com/professionals/questionoftheweek/cfa/240505.asp
... Vader, CFA, will begin a new job next week with a regional brokerage firm. ... b) Simply
remind the supervisor that as a CFA charterholder, he is obligated to the ...
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http://www.investopedia.com/ask/answers/09/double-dipping.asp
... Most of those years were spent with Charles Schwab & Co., both as a broker
and a trading supervisor. As a supervisor, he oversaw ...
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http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-responsibilities-supervisors.asp
Sign In Register Free Annual Reports Free Newsletters. Dictionary;
Investing; Markets; Personal Finance; Active Trading; Forex; ...
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http://www.investopedia.com/exam-guide/series-7/customer-accounts/partnership-corporation.asp
... to ensure that the entity is authorized to invest through brokerage accounts ... authority,
but she does need written authorization from both her supervisor and the ...
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http://www.investopedia.com/articles/financialcareers/07/analystbrokercareer.asp
... it's important to understand that most people that enter the brokerage industry
don ... you receive a letter of recommendation for your work from your supervisor. ...
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http://www.investopedia.com/exam-guide/series-7/getting-started/explore-options.asp
... 10.4 The Prudent Man Rule; 10.5 Opening a Brokerage Account; 10.6 Opening a Retirement ...
A supervisor who tells you, "Sorry, but we don't hire anyone who doesn't ...
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http://www.investopedia.com/exam-guide/series-7/derivatives/option-positions.asp
... That is still a bad outcome, but far less difficult to explain to a supervisor than
$650,000 - and that $650,000 is not even that bad when you consider that ...
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http://www.investopedia.com/university/banking/banking6.asp
... checking account at the bank to your retirement account at a brokerage firm) it ... money
somehow ends up in your account, notify a bank supervisor immediately and ...
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