Sharebroker Templates

Sharebroker Templates

There is a huge number of templates that someone in the Sharebroker 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 Sharebroker. Documents are often built in tools like Word, Google Docs, Notion & others while spreadsheets are often built in Excel, Google Sheets, Airtable & others.

1. Monthly Sales Report
2. Client Portfolio Summary
3. Investment Analysis Spreadsheet
4. Stock Market Research Template
5. Trade Confirmation Document
6. Financial Statement Template
7. Risk Assessment Spreadsheet
8. Market Watchlist
9. Client Account Opening Form
10. Investment Proposal Template

Reports

Reports are often prepared by a Sharebroker 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 Investment Report
5. Stock Market Trends Report
6. Risk Assessment Report
7. Financial Statement Report
8. Investment Opportunities Report
9. Regulatory Compliance Report
10. Economic Outlook Report

SOPs

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

1. Client Onboarding SOP
2. Trade Execution SOP
3. Risk Management SOP
4. Compliance Monitoring SOP
5. Portfolio Management SOP
6. Investment Research SOP
7. Financial Reporting SOP
8. Account Reconciliation SOP
9. Order Management SOP
10. Customer Service SOP

Presentations

Sharebroker 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. Financial Performance Analysis
2. Market Trends and Insights
3. Investment Portfolio Review
4. Client Portfolio Recommendations
5. Economic Outlook and Forecast

Legal Docs

There are several key times when a Sharebroker 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. Stock Purchase Agreement Template
5. Compliance Policy Template

Health & Safety Templates

Health & Safety templates for a Sharebroker 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. Workplace Inspection Checklist Template
5. Health and Safety Training Attendance Record Template

Calendars

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

1. Monthly Trading Calendar
2. Economic Events Calendar
3. Dividend Payment Calendar
4. IPO Calendar
5. Corporate Earnings Calendar

Invoice Templates

Several types of Sharebroker 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 services provided as a sharebroker.
2. Commission Invoice: This invoice is used to calculate and bill clients for the commission earned on their investments.
3. Research Report Invoice: This invoice is used to bill clients for the research reports provided on various investment opportunities.
4. Advisory Fee Invoice: This invoice is used to bill clients for the advisory fees charged for providing investment advice and guidance.
5. Trade Confirmation Invoice: This invoice is used to confirm and bill clients for the trades executed on their behalf in the stock market

Survey Templates

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

1. Client Satisfaction Survey
2. Market Research Survey
3. Investment Preference Survey
4. Risk Assessment Survey
5. Financial Performance Survey

Meeting Agendas

Having premade Sharebroker 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 Performance Review Meeting
2. Investment Strategy Meeting
3. Client Portfolio Review Meeting
4. Market Analysis Meeting
5. Team Collaboration Meeting

Budget Templates

To manage finances well, a Sharebroker 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. Client Commission Budget Template
4. Marketing and Advertising Budget Template
5. Professional Development Budget Template

Dashboards

Dashboards are a useful way for a Sharebroker 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. Client Holdings Dashboard
4. Investment Analysis Dashboard
5. Risk Management Dashboard

Proposal Templates

For bidding or requesting work, a Sharebroker 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 Portfolio Proposal
2. Retirement Planning Proposal
3. Risk Management Proposal
4. Wealth Management Proposal
5. Market Analysis and Forecast 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 Sharebroker 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.