随着证券行业的快速发展，业内竞争加剧，伴随着近几年交易量的萎缩和行业佣金 率的下滑，代理买卖证券业务净收入也大幅下降。因证券市场的经纪业务收入是券商最 重要的收入来源之一，如何创新经纪业务营销策略是每个证券公司营业部的当务之急。 本文以中原证券Y分公司为例，深入细致地分析了营业部目前证券经纪业务营销策略的 问题并提出了应对的策略优化，对其他类似的证券营业部有着较大的参考意义。 文章先论述了研究背景、意义，阐述了研究内容、方式与思路，阐明了创新点，梳 理了国内与国外的研究现状，为进一步分析中原证券Y分公司证券经纪业务营销策略的 问题打下理论基础、构造了理论框架。 接着本文从实际出发，分析了中原证券Y分公司的经纪业务现状及问题，主要问题 是过去的经纪业务营销策略较传统，不具有科学性、专业性，主要体现在以下几个方面： 产品策略方面，现有经纪业务金融产品结构单一，服务咨询产品专业性和针对性不足， 投资者接收到信息后不能有效采取投资行动；价格策略方面，分公司普通账户佣金率远 高于证券市场平均水平；渠道策略方面，营销观念相对落后，仅依赖线下推广；人员策 略方面，未建立完善的人才培训体系，形成专业的投资顾问团队；促销策略方面，受众 群体太少、促销手段过于单一、形式不够多样化；有形展示策略方面，桌椅破旧，电脑 设备老化，人员展示信息更新不及时；服务过程策略方面，服务流程随意化，业务办理 生疏化。随后本文分析了产生这些问题的主要原因：危机意识薄弱，成本控制严重；片 面追求短期成效；重点维护老客户，不深挖新渠道；缺少专业型人才等。 本文对以上经纪业务营销策略的问题做出策略优化，应做好基于目标市场营销理论 STP下的市场定位与细分分析，提出相关对策如产品策略优化中的服务产品化和针对客 户推出差异化的资产配置、价格策略优化中证券普通账户和信用账户的价格优化、渠道 策略优化中的优化线下渠道方案和线上合作方案、人员策略优化中的建立健全员工培训 体系员工晋升管理制度和注重公司文化建设，还有促销策略优化中的营销人员推销、开 展营销活动和广告宣传，有形展示策略中的加强营业场所的良好展示和积极履行企业社 会责任、服务过程策略优化等。最后，提出了对经纪业务营销策略的保障措施：优化内 II 部沟通机制、运营支持保障和合规风险保障，确保优化后的营销策略可以有效实施。 本文以中原证券Y分公司为例，深度分析了营业部从事证券经纪业务营销需要解决 的一系列问题，并制定了可行的策略，给其他证券公司基层营业部提供了一个良好的解 决方案。因为时间相对较为仓促，加之中原证券Y分公司仅属于个案，缺乏代表性，所 以，本文研究还有一些不足之处，有待其他研究者的进一步的探究。 关键词：证券公司，经纪业务，营销策略 III ABSTRACT With the rapid development of the securities industry, the competition in the industry is intensified. With the shrinking of trading volume and the decline of commission rate in the industry in recent years, the net income of agency trading securities business has also declined significantly. Because the income of brokerage business in the securities market is one of the most important sources of income for securities companies, how to innovate the marketing strategy of brokerage business is an urgent task for the business department of each securities company. Taking Y branch of Central China Securities Company as an example, this paper analyzes the current marketing strategy of securities brokerage business of the business department in detail and puts forward the strategy optimization, which has great reference significance for other similar securities business departments. This paper first discusses the research background, significance, research content, methods and ideas, expounds the innovation points, combs the domestic and foreign research status, and lays a theoretical foundation and framework for further analysis of the marketing strategy of securities brokerage business of Y branch of Central China Securities Company. Then this paper analyzes the current situation and problems of the brokerage business of Y branch of Central China Securities Company. The main problem is that the marketing strategy of the brokerage business in the past is more traditional, not scientific and professional, which is mainly reflected in the following aspects: product strategy, the existing financial product structure of the brokerage business is single, the service consulting product is not professional and targeted, and the investors connect After receiving the information, it is unable to take effective investment actions; in terms of price strategy, the general account commission rate of the branch company is far higher than the average level of the securities market; in terms of channel strategy, the marketing concept is relatively backward and only relies on offline promotion; in terms of personnel strategy, a perfect talent training system has not been established to form a professional investment advisory team; in terms of promotion strategy, there are too few audiences and promotion The marketing methods are too single and the forms are not diversified; in terms of tangible display strategy, the tables and chairs are worn out, the computer equipment is aging, and IV the display information of personnel is not updated in time; in terms of service process strategy, the service process is arbitrary and the business processing is unfamiliar. Then this paper analyzes the main causes of these problems: weak crisis awareness, serious cost control; one-sided pursuit of short-term results; focus on maintaining old customers, do not dig new channels; lack of professional talents. Make strategy optimization in this paper, the above problem, should be based on the target market positioning and segmentation under the STP marketing theory analysis, puts forward relevant countermeasures such as product strategy optimization of service differentiation of the transition and in view of the customer, asset allocation, pricing strategy, optimization of the prices of securities general accounts and credit accounts, channel strategy, optimize the optimization of offline channels and online collaboration, the strategy of establishing and perfecting the personnel of the staff promotion staff training management system management system and pay attention to corporate culture construction, the strategy of marketing and promotion of personnel to promote and carry out marketing activities and advertising, In the visible display strategy, it is necessary to strengthen the good display of the business place and actively fulfill the corporate social responsibility and optimize the service process strategy. Finally, the author puts forward the guarantee measures for the marketing strategy of brokerage business: optimizing the internal communication mechanism, operation support guarantee and compliance risk guarantee, to ensure that the optimized marketing strategy can be effectively implemented. Taking the Y branch of Central China Securities Company as an example, this paper deeply analyzes the problems encountered in the marketing process of the securities brokerage business at the sales department level and provides a more detailed strategies, which provides a good solution for the grassroots sales departments of other securities companies. The strategy hopes to lay a foundation for others to study this field in the future. Due to the rush of research time, and the Y branch of Central China Securities Co., Ltd. is only a case, it is not necessarily broadly representative, so it is inevitable that some aspects are not comprehensive enough, and other researchers will continue to explore in the future. KEY WORDS: securities company, brokerage business, marketing strategy V 目 录 摘要......5 ABSTRACT........................III 1 绪论....1 1.1 研究背景及意义........1 1.1.1 研究背景.............1 1.1.2 研究意义.............2 1.2 研究内容....................2 1.3 研究思路与方法........2 1.3.1 研究思路.............2 1.3.2 研究方法.............3 1.4创新之处.....................3 2 国内外研究现状与理论基础..........................5 2.1 国内外相关研究........5 2.1.1 国外研究现状.....5 2.1.2 国内研究现状.....6 2.1.3 研究述评.............7 2.2 国内外相关概念与营销理论基础...........8 2.2.1 证券经纪业务概念............................8 2.2.2 证券经纪业务营销相关理论............8 2.2.3 服务营销组合理论............................9 2.2.4 目标市场营销理论..................