Securities Dealer Templates

Looking for Securities Dealer Templates to download? See the main templates that a Securities Dealer would use in their day-to-day work.

Need one of these templates? Request for it to be built by one of our experts.

Securities Dealer Templates

There is a huge number of templates that someone in the Securities Dealer role uses in their daily work. In this article, we’ll outline the main templates they use.

Documents & Spreadsheets

These templates are some of the most commonly used templates by a Securities Dealer. Documents are often built in tools like Word, Google Docs, Notion & others while spreadsheets are often built in Excel, Google Sheets, Airtable & others.

1. Daily Trade Report
2. Monthly Sales Report
3. Client Portfolio Summary
4. Risk Assessment Template
5. Compliance Checklist
6. Investment Proposal Template
7. Financial Statement Analysis
8. Market Research Report
9. Trade Confirmation Template
10. Performance Review Template


Reports are often prepared by a Securities Dealer to track business performance for themselves or for their management team. They can be created in a variety of tools and can be static or dynamic templates.

1. Monthly Sales Report
2. Portfolio Performance Report
3. Market Analysis Report
4. Client Activity Report
5. Risk Assessment Report
6. Compliance Report
7. Profit and Loss Report
8. Trade Execution Report
9. Regulatory Compliance Report
10. Investment Research Report


At the heart of businesses with solid systems and processes are SOPs (standard operating procedures). These should be living documents that outline what a Securities Dealer does and how they do it.

1. Client Onboarding SOP
2. Trade Execution SOP
3. Risk Management SOP
4. Compliance Monitoring SOP
5. Order Routing SOP
6. Market Research SOP
7. Trade Settlement SOP
8. Portfolio Management SOP
9. Regulatory Reporting SOP
10. Financial Analysis SOP


Securities Dealer presentations can be delivered either to internal or external stakeholders. Often created in tools like PowerPoint, Google Slides, Canva, Adobe or others, they are important for visually communicating important business information.

1. Monthly Market Analysis
2. Investment Portfolio Review
3. Economic Outlook and Trends
4. Risk Assessment and Mitigation Strategies
5. Client Performance Report

Legal Docs

There are several key times when a Securities Dealer needs to create and complete legal documents. By using templates set up as documents, signable PDFs or esignature software templates, they can speed up this process.

1. Client Agreement Template
2. Non-Disclosure Agreement Template
3. Investment Advisory Agreement Template
4. Compliance Policy Template
5. Risk Disclosure Statement Template

Health & Safety Templates

Health & Safety templates for a Securities Dealer ensure that the correct forms are completed to protect from harm and record any incidents at work.

1. Incident Report Template
2. Risk Assessment Template
3. Emergency Evacuation Plan Template
4. Health and Safety Training Attendance Template
5. Workplace Inspection Checklist Template


Setting up Securities Dealer calendars ensures that they can visually see what’s coming up and plan events successfully.

1. Trading Calendar: This calendar tracks the trading hours and holidays for various financial markets.
2. Economic Calendar: This calendar highlights important economic events, such as release dates for key economic indicators and central bank meetings.
3. Corporate Events Calendar: This calendar focuses on corporate events like earnings releases, shareholder meetings, and dividend payment dates.
4. Compliance Calendar: This calendar helps ensure adherence to regulatory requirements and deadlines for reporting, filings, and compliance activities.
5. Personal Calendar: This calendar is used to manage personal appointments, meetings, and deadlines, helping to maintain work-life balance and stay organized

Invoice Templates

Several types of Securities Dealer invoice templates can be used and these are generally set up as Word docs, PDFs or accounting software templates.

1. Client Invoice: This invoice is used to bill clients for the securities bought or sold on their behalf.
2. Commission Invoice: This invoice is used to bill clients for the commission earned on their securities transactions.
3. Market Data Invoice: This invoice is used to bill clients for the market data services provided, such as real-time stock quotes.
4. Clearing Fee Invoice: This invoice is used to bill clients for the clearing fees incurred during securities transactions.
5. Regulatory Fee Invoice: This invoice is used to bill clients for the regulatory fees imposed by financial authorities for securities trading activities

Survey Templates

For a Securities Dealer to get insights related to the work they do, they need to send out Securities Dealer surveys. These templates can be set up as documents, fillable PDFs or survey software templates.

1. Customer Satisfaction Survey
2. Market Research Survey
3. Investment Preferences Survey
4. Risk Assessment Survey
5. Compliance and Regulatory Survey

Meeting Agendas

Having premade Securities Dealer meeting agenda and meeting notes templates can save time and ensure you run efficient meetings. They are usually set up in tools like Word, Google Docs, Notion & others.

1. Monthly Sales Review Meeting
2. Investment Strategy Meeting
3. Risk Assessment Meeting
4. Compliance and Regulatory Meeting
5. Team Performance Evaluation Meeting

Budget Templates

To manage finances well, a Securities Dealer would need to have budget templates they can used on a monthly, quarterly and yearly basis.

1. Income and Expense Budget Template
2. Investment Portfolio Budget Template
3. Sales and Trading Budget Template
4. Risk Management Budget Template
5. Compliance and Regulatory Budget Template


Dashboards are a useful way for a Securities Dealer to monitor business performance and they can be set up as static documents or dynamic online documents/views.

1. Portfolio Performance Dashboard
2. Market Trends Dashboard
3. Risk Analysis Dashboard
4. Client Engagement Dashboard
5. Compliance Monitoring Dashboard

Proposal Templates

For bidding or requesting work, a Securities Dealer needs a boilerplate proposal template that they can use over and over again. These templates can be set up as documents, fillable PDFs or proposal software templates.

1. Monthly Investment Proposal
2. Risk Assessment Proposal
3. Portfolio Diversification Proposal
4. Retirement Planning Proposal
5. Market Analysis Proposal

Get Your Template Made

We’ve brought together some of the best template builders in the world to help people like you get your templates built. We’ve seen that using a solid set of templates in business will help you streamline your systems and processes. Whether you’d like your Securities Dealer templates built in Word, Google Docs, Excel, Google Sheets, PDF, Notion, Airtable, Canva, PowerPoint or other software, we’re here to help. Request your template and we’ll get your request in the hands of a 3D Animator Template designer.

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