Auditors, accountants and investment professionals

How to become a securities agent, investment dealer or broker

Official title: Securities agents, investment dealers and brokers

Also called: Broker, Bond broker, Bond dealer, Grain broker, Discount broker, Commodity broker, Financial broker, Securities agent, Investment broker, Investment dealer, Securities trader, Mutual fund broker

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.

Main tasks

Securities agents and investment dealers
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
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

How to become one

A bachelor's or master's degree in economics, business or other discipline is usually required. A recognized financial designation may be required (CFA, CFP, CIM or others). Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA 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 or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.

See the full NOC 2021 profile

Ways in

University: Business & Commerce degrees, Offered by 17 universities in Canada
Licence or registration: Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA Institute. Licensure by the provincial securities commission in the province of employment or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.

Pay · Outlook

Median pay: $82,992 a year The middle half earn $58,500 to $127,998.
About 26,200 people worked in this job in 2023, and about 28,900 are projected by 2033. (+10.3%)
Projected labour market to 2033: balance.

Questions people ask

How do I become a securities agent, investment dealer or broker?

How much does a securities agent, investment dealer or broker earn in Canada?

Median full-time pay is $82,992 a year (Employment and Social Development Canada (Job Bank)). The middle half earn $58,500 to $127,998.

Is a securities agent, investment dealer or broker a growing career in Canada?

Yes. Employment is projected to grow 10% by 2033, from about 26,200 to about 28,900 people (Employment and Social Development Canada).

Do you need a degree to become a securities agent, investment dealer or broker?

Usually. 62% of people in this job hold a bachelor's degree or higher.

Sources

Statistics Canada: Census 2021: employment by occupation, gender and education (98-10-0449) (2021 Census), Statistics Canada Open Licence, retrieved 2026-10-03
Statistics Canada: National Occupational Classification (NOC) 2021 (Version 1.0), Open Government Licence - Canada, retrieved 2026-10-03
Employment and Social Development Canada: Canadian Occupational Projection System (COPS) (2024 to 2033), Open Government Licence - Canada, retrieved 2026-10-03
Employment and Social Development Canada (Job Bank): Wages by occupation (2025 (revised 2025-11-19)), Open Government Licence - Canada, retrieved 2026-10-03

Updated 2026-10-03