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Career Library

Stock Broking


A Stockbroker is a professional who manages investments in stocks, derivatives, bonds, currency trades, etc., for clients who can either be individuals or big organizations. He is the linchpin between the stock market and the client in buying and selling shares. The services are provided to clients on a compensation pay system, thus profits for the client means profit for oneself.

Career Opportunities in Stock Broking

  • Brokerage Firms
    A certified stock broker can work with a brokerage firm such as Share khan or India bulls as their agent. The work involves contacting clients and managing their investments in stock market products. The benefit of working in a brokerage firm is that it provides more security and stableness than working individually.
  • Independent Broker
    A certified stock broker can also work as an independent agent. He/she has to find new clients herself/himself and thus needs more interpersonal as well domain knowledge than what would typically be required of an agent working with a firm. The positive and the negative side is that an independent agent can determine his/her own commission and thus lose or win big if he manages to invest in a profitable stock.
  • Equity Analyst
    An Equity analyst is one who studies organizations' metrics to determine risk and profitability of its stocks and other financial products. He/she can work independently, but most often are employed by large brokerage firms or even by business organizations.
  • Bank Broker
    A Bank broker does the same work as other brokers do that is to sell and buy shares and other financial products for clients albeit in a bank. The major difference though is that the agent doesn't have to run around prospective customers rather bank provides a steady stream of customers who would themselves contact you.

How to Become a Stockbroker

Stream Graduation After Graduation After Post Graduation
path 1
Clear Class XII in any stream Graduation in any stream preferably in finance related subjects Short term/Long term course from NSE/BSE-
path 2
Any Stream preferably statistics and math Short term/Long term courses from NSE/BSEPractice in a Brokerage firm, then apply for a license-
path 3
Commerce/Science with Math's Graduation in any streamPGDM/MBA in Capital Markets-

Important Facts

  • As such, to practice as a stock broker does not entail specific eligibility criteria but it is advisable if students have math and statistics as their core subjects in senior secondary and graduation.
  • Although courses from different institutes give you the required skill and knowledge set, yet a certification exam has to be passed before one can practice in stock trading.

Leading Institutes

Top Stock Broking Institutes in India
College Location Website
Institute of Company Secretaries of India New Delhi www.icsi.edu
All India Centre for Capital Market Studies Mumbai www.nism.ac.in
Mumbai Stock Exchange Training Institute Mumbai www.bsebti.com
J.D.C. Bytco Nashik www.jdcbytcoimsr.in
NCFM Academy Hyderabad www.ncfmacademyhyderabad.in
Institute of Financial and Investment Planning Mumbai www.ifpng.com
Institute of Chartered Financial Analysts of India Mumbai www.icfai.org
The UTI Institute of Capital Market Mumbai www.Web site not available
Indian Institute of Management Multiple Locations www.iimahd.ernet.in/ www.iimidr.ac.in/ www.iiml.ac.in/ https
Top Stock Broking Institutes in the World
Institution Location Website
Indiana University United States www.iu.edu
Kansas State University United States www.k-state.edu
New England College of Business United States www.necb.edu
Bryant University United States www.bryant.edu
California State University United States www.web.calstatela.edu
London Business School United Kingdom www.london.edu
The University of Melbourne Australia www.unimelb.edu.au
The University of New South Wales Australia www.unsw.edu.au

Important Entrance Exams

College Tentative Date Important Elements Website
BSEs Certification on Central Depository All year
  • Financial Derivatives
  • Principles of Trading
  • Risk Management
  • Regulatory Aspects
  • Taxation
  • Accountancy
BSE's Certification on Securities Markets All year
  • Markets
  • Trading
  • Mutual Funds
  • Taxation
  • Sensex/SEBI/CLB
BSE's Certificate on Derivatives Exchange All Year
  • Financial Derivatives
  • Principles of Trading
  • Risk Management
  • Regulatory Aspects
  • Taxation
  • Accountancy
BSE's Certification on Corporate Governance All Year
  • Corporate Governance
  • Liability of Directors & Officers
BSE's Certification on Options Trading All Year
  • Options Basics
  • Bullish Option Strategies
  • Bearish Option Strategies
  • Neutral Strategies
BSE's Certification on Credit Rating All Year
  • Credit Rating
  • Finance Rating
  • Securitization
  • Rating of Banks
  • Evaluation of Ratings
BSE's Certification on Fundamental Analysis All Year
  • Fundamental Analysis
  • Financial Indicators
  • Equity Valuation
  • Bond Valuation
BSE's Certification on Security Analysis and Portfolio Management All Year
  • Investment
  • Risk and Return
  • Regulation of Financial Markets
  • Equity Markets
  • Fundamental Analysis
  • Technical Analysis
  • Efficient Market Hypothesis
  • Mutual Funds
  • Risk Measurement Tools
  • Derivatives Markets

Work Description

  • Manage investments for individuals, companies or large organizations and review their investment portfolios
  • Buy and sell stocks, shares and other financial products
  • Carry out Research on the financial markets
  • Keep clients informed about their investments and changes in the market by developing investment strategies
  • Consult investment analysts
  • Liaise with sales traders/clients on market movements
  • Predict how markets will move and buy and sell accordingly
  • Conduct exhaustive data analysis to analyze trends for decision making

Pros & Cons of a Career in Stock Broking

  • High Monetary benefits
  • Always in high demand due to rise in financial markets
  • Lots of opportunities to move to higher positions
  • Stressful job and long hours of work
  • Dependent on the economy and market fluctuations
  • Need to be very persuasive or perish
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