Your work. Your records.
Financial Sales Agent Workplace Records
Financial-services sales work may involve transactions, customer advice and monitoring market positions. An employment dispute should be described separately from a client’s investment outcome. Start with your role, employer and the specific assignment or compensation issue, then identify the instructions and employment records that explain what happened without exposing account or trading information.
Call now(800) 800-5555Free initial case evaluation. Representation depends on work state and case eligibility. This guide explains record preparation; it does not determine whether a legal claim exists.
A record map for your role
What to organize first
Compensation question
Pair your own pay entry with the applicable incentive terms and adjustment explanation, excluding customer names and account numbers.
Responsibility outline
Describe which sales or transaction steps you performed and which required review, approval or action by another person.
Decision timeline
List the instruction, your response and the employment action in date order, using permitted employment communications rather than client financial records.
Start with the work you actually do
Buy and sell securities or commodities in investment and trading firms, or provide financial services to businesses and individuals. May advise customers about stocks, bonds, mutual funds, commodities, and market conditions.
O*NET classifies this occupation as Securities, Commodities, and Financial Services Sales Agents (41-3031.00). Its description covers a typical occupation, not every workplace or individual job. It does not establish employee status, overtime eligibility or employer misconduct.
- Make bids or offers to buy or sell securities.Source task 23192 · updated 08/2022
- Monitor markets or positions.Source task 23193 · updated 08/2022
- Agree on buying or selling prices at optimal levels for clients.Source task 23194 · updated 08/2022
- Keep accurate records of transactions.Source task 23195 · updated 08/2022
A reference point for your pay records
May 2025 wage estimates by state
Compare your pay records with published BLS estimates for Securities, Commodities, and Financial Services Sales Agents (SOC 41-3031). These describe an occupation across employers. They are not a required pay rate, an overtime calculation, or evidence of discrimination or unpaid wages.
Select your work state to see its published pay range. No personal pay information is requested or sent.
The 25th and 75th percentiles mark the middle half of the estimated wage distribution; the median is its midpoint. Actual pay can differ with experience, employer, location and duties. Hourly and annual figures are shown as published, without converting one into the other.
All published state estimates for this occupation
| State | Hourly 25th | Hourly median | Hourly 75th | Annual median |
|---|---|---|---|---|
| Alabama | $21.84 | $23.67 | $35.04 | $49,230 |
| Alaska | $28.49 | $36.71 | $48.65 | $76,360 |
| Arizona | $24.79 | $35.98 | $49.33 | $74,840 |
| Arkansas | $22.28 | $26.28 | $38.49 | $54,660 |
| Connecticut | $29.55 | $47.38 | $83.74 | $98,560 |
| Delaware | $25.62 | $40.27 | $64.91 | $83,750 |
| Florida | $24.39 | $30.18 | $48.61 | $62,770 |
| Georgia | $24.12 | $28.84 | $47.55 | $59,990 |
| Hawaii | $23.99 | $27.69 | $38.23 | $57,590 |
| Idaho | $24.49 | $31.07 | $48.44 | $64,620 |
| Indiana | $25.51 | $32.83 | $51.99 | $68,290 |
| Iowa | $23.72 | $30.91 | $48.13 | $64,290 |
| Kansas | $27.22 | $36.45 | $48.09 | $75,810 |
| Kentucky | $23.57 | $28.42 | $39.95 | $59,110 |
| Louisiana | $20.71 | $23.10 | $36.32 | $48,040 |
| Maine | $25.33 | $28.83 | $49.18 | $59,970 |
| Michigan | $27.39 | $35.33 | $50.60 | $73,480 |
| Minnesota | $28.22 | $40.07 | $64.07 | $83,350 |
| Mississippi | $18.43 | $22.44 | $25.87 | $46,680 |
| Missouri | $28.27 | $37.74 | $51.12 | $78,500 |
| Montana | Not published | Not published | Not published | Not published |
| Nebraska | $30.13 | $39.69 | $60.09 | $82,560 |
| New Hampshire | $27.69 | $37.95 | $67.13 | $78,930 |
| New Mexico | $24.37 | $29.25 | $45.10 | $60,850 |
| New York | $48.97 | $80.93 | $112.41 | $168,340 |
| North Carolina | $24.23 | $35.60 | $52.90 | $74,040 |
| North Dakota | $23.44 | $30.61 | $49.65 | $63,670 |
| Ohio | $24.79 | $35.24 | $48.39 | $73,300 |
| Oklahoma | $24.25 | $36.58 | $61.03 | $76,080 |
| Pennsylvania | $25.51 | $34.54 | $49.95 | $71,840 |
| Rhode Island | Not published | Not published | Not published | Not published |
| South Dakota | $23.06 | $41.72 | $61.53 | $86,780 |
| Tennessee | $22.86 | $27.91 | $40.16 | $58,050 |
| Texas | $24.71 | $37.73 | $62.96 | $78,470 |
| Utah | $27.37 | $31.09 | $42.86 | $64,660 |
| Vermont | $37.77 | $42.44 | $65.04 | $88,280 |
| Virginia | $24.47 | $30.25 | $50.28 | $62,910 |
| West Virginia | $21.97 | $24.06 | $30.08 | $50,050 |
| Wisconsin | $27.92 | $35.58 | $49.25 | $74,010 |
| Wyoming | Not published | Not published | Not published | Not published |
“Not published” preserves unavailable or suppressed source cells. “Above reporting limit” preserves a top-coded source value without inventing a number. A missing state estimate does not establish service eligibility. The data describe wage and salary employment; they do not measure self-employment income.
Source: BLS May 2025 state workbook · OEWS tables · BLS technical notes. Use your own schedule, pay statement and compensation terms to identify the question you want reviewed.
Clarify credit and incentive timing
Identify the incentive-plan version issued to you and the transaction stage relevant to the disputed payment. Note an account transfer, cancellation or adjustment without including customer identifiers. Distinguish a projected amount from an amount actually shown on your pay statement. Keep the question narrow: which term or entry needs explanation, who supplied the explanation and when you challenged it.
Trace instructions and approval responsibilities
Describe whether you initiated a transaction, submitted it for processing or sought approval from another role. If performance feedback concerns an instruction you questioned, record the original direction and your response. Do not infer authority from a sales title alone. Identify the manager or review function involved while leaving client orders, account statements and internal surveillance material in their approved systems.
Protect confidential financial information
Do not export customer lists, holdings, trading records or nonpublic market information into a personal employment folder. Your own agreement, target notice and evaluation may provide enough initial context. Where a restricted record is essential to explaining an event, identify its type and location before sharing it. Separate direct observations from speculation about why a transaction, client allocation or employment decision occurred.
Choose your next step
Review the workplace retaliation guide, unpaid wages guide, or discrimination guide if those concerns fit your experience. A job title alone does not establish a claim.
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