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An Interview With a Share Broker


Securities market has essentially divided into three categories of participants, namely the issuer of securities, investors in securities and the intermediaries. The security market has two interdependent and inseparable segments the Primary Market and the Secondary Market.

Primary Market: The primary market is the part of the capital market that deals with issuing of new securities. Companies, government or public sector institutions can obtain funds through the sale of a new stock or bond issues through primary market.

Secondary Market: A market where investors purchase securities or assets from other investors, rather than from issuing companies themselves. The national exchange – such as the New York Stock Exchange and the NASDAQ are secondary markets.

A stockbroker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission. Stockbrokers are known by numerous professional designations, depending on the license they hold, the type of securities they sell, or the services they provide.


The project aims to Interview a share broker and ask for his experience and knowledge about the share market

Objectives of the study are

  1. To learn about share market
  2. To learn about broker
  3. To learn about brokerage firm
  4. To learn about the difficulties accessed by the share broker
  5. To learn about the experience of the share broker


In this project, we are going to learn about different types of winding up of a partnership firm

Primary data is data gathered for the first time by the researcher. It is the raw form of data and thoroughly studied and hence a helpful tool for secondary data. Here the method used for collection of primary data is by using reference of the website.

The referred websites in this project are used as a source of data for this project. Most of the content is collected from these websites. The authenticity of this information cannot be taken seriously and thus keeping that in mind most of that data might be true or fake.


We are going to ask some question to the share broker

1.Are you comfortable generating leads? Tell me about your experience doing so.

“I am very comfortable with generating leads. Prospecting and cold calling are both tasks that I am good at. I will network and ask for referrals from my current sources. From there, I will utilize networking sites such as LinkedIn. In total, I have 12 years’ experience in a business development role.”

2.What Are The Types Of Risks?

Generally, there are two types of risk: Systematic risk and Unsystematic risk.

Systematic risks are:

Market risk

Purchasing power risk

Interest rate risk

Unsystematic risks are:

Business risk

Financial risk

Liquidity risk

Default risk

3.Have you worked in sales before?

“I have worked in sales for most of my career. I began in high school, selling magazine subscriptions door to door in residential neighborhoods. After graduating from high school, I worked part-time as a bank teller while attending university. This role required strong up-selling skills. Since completing university, I have worked my way up in the banking world, always within sales focused role.”

4.How do you conduct research on companies and markets?

“In order to stay on top of my market research, I take an hour every morning before the workday begins. I scour my Google Alerts for any new keyword updates. I also follow a variety of RSS feeds and newsletters including BDC Market Research, MarketSmith, and MarketWatch. In addition to this, I also subscribe to all newsletters from the top Economists from a variety of financial institutions.”

5.Explain what is secondary markets? What is the difference between the secondary and primary market?

A secondary market is where the trading of securities is done. It consists of both equities as well as debt markets.

The main difference is that in the primary market an investor can buy securities directly from the company through company’s IPO while in the secondary one buy’s securities from other investors willing to sell the same. Equity shares, bonds, preference shares, etc. are available in the secondary market.

6.When purchasing a stock what charges are payable?

The charges that are payable while purchasing a stock are

Stock Brokers


Stamp duty

Cost of the stock

7.Explain can you judge whether the stock is expensive by looking at its price?

Looking just at its price you cannot judge the stock price, a $200 stock can be cheap if the company’s earnings prospects are high enough, while a $10 stock can be expensive if earning potential is low. The P/E ratio is the correct judge of the valuation of the stock.

8.What Is Mutual Fund? State Types Of Mutual Funds Schemes.

Mutual Fund is an association which pools the savings of the investors who share common financial goals. The money collected by the number of investors is invested in different types of financial instruments for the mutual benefit of its members. The income earned on these investments is then shared by the unit holders in proportion to the number of units held by them. A mutual fund has the sponsor, trustees, Asset Management Company and custodian. Mutual funds schemes are classified on the following basis:

Maturity Period – Open-ended and closed-ended schemes.

Investment Objective – Growth scheme, Income scheme, and balanced scheme.

Other schemes – Liquid fund, Gilt fund Index fund, Sector fund, and Tex saving fund.

9.What Are The Basic Principles Of Dow’s Theory?

Dow’s Theory is the oldest and the most known theories of technical analysis. It was proposed by Charles H. Dow. Dow’s theory has put forward six basic principles:

The averages discount everything.

The market has three main movements. These are primary, secondary and minor movements.

Lines indicate movements. Such a movement indicates either accumulation or distribution.

Price-volume relationships provide background.

The price action determines the trend in the market.

The averages must confirm i.e. the movements of two different market indices must confirm each other to confirm the overall trend.


  1. https://www.mockquestions.com/position/Sales+Engineers/Are-you-comfortable-generating-leads%3F-Tell-me-abou-PTQ23195592.html
  2. https://www.wisdomjobs.com/e-university/stock-market-interview-questions.html
  3. https://www.mockquestions.com/position/Stock+Broker/
  4. https://www.quora.com/Is-it-better-to-hire-a-stock-broker-or-learn-how-to-invest-on-your-own

About Nawaf

Nawaf, An Twentieth-something savvy Web Designer / Social Media Manager / SEO Strategist based In India. He is Passionate about Web Designing, Programming, And Web Security. He is currently learning Management Studies and is in the Second Year

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One comment

  1. thank u so much for this blog and projects.perfectly made not too long and not too short.. this have helped me so much complete my project. grateful for this.

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