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Account Executive

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In the financial industry account executive is an employee of a brokerage firm who acts as an agent to advise and handle orders for the firm's clients. An account executive that represents a brokerage firm is also called a registered representative. Sometimes an account executive is referred to as a broker. Brokerage companies that employ persons acting in a capacity of an account executive are licensed by the regulatory organizations such as SEC, NYSE, and NASD. The typical job of an account executive is to trade investment products such as stocks, bonds, and mutual funds for the benefit of the clients. In some cases, an account executive may also act as an adviser. A typical account executive is paid either commission, or salary, or some combination of the two. In order to become an account executive, legally authorized to buy and sell securities, an individual must pass Series 7 and Series 63 examinations imposed by the regulatory boards.



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