爱建证券经纪业务服务营销策略研究

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摘要

随着国内证券经纪业务的不断发展，证券市场的从业人员、投资者以及市场

品种快速增加，业务竞争不断加剧。在此背景下，证券公司的营销意识和服务意

识有极大的提升，表现为营销模式和服务模式的转型。营销模式转型就是变“坐

商”为“行商”，通过组建专业的经纪业务营销队伍，主动走出去寻找目标客户。

服务模式转型就是经纪业务在为客户提供交易通道服务的同时，为客户提供专业

化、差异化、个性化的投资咨询等增值服务，为客户提供有针对性的、适合投资

者需求的各种金融产品配置与销售的服务，进而为投资者提供全方位的财富管理

服务，做到以服务促营销。这两方面的重大转变，不仅有利于提升证券公司的核

心竞争力，也有利于提升证券行业相对其他金融行业的竞争力。因此，进一步增

强服务营销意识，加强服务营销策略分析是证券公司在竞争中立于不败之地的重

要途径。

在中国证券经营机构的组织体系中，中小证券公司的存在有其合理的必然性，

并发挥着不可替代的作用。目前中小证券公司之难以获取各类创新业务资格，源

于净资本规模偏小，其未来生存和发展空间狭小。因此，中小券商的发展一定要

从实际出发，结合自身具体情况，找准自身合理定位，在某一类业务领域或某一

区域争取形成差异化优势，决不能盲目追求扩大规模、全方位发展。而确立差异

化优势的重要手段离不开服务营销能力的全方位提高。市场竞争的白热化是推动

中小证券公司服务营销变革的外部压力，客户需求的多样化是推动中小证券公司

服务营销变革的内在动力，

论文旨在探求中小证券公司收益最大化的经纪业务服务营销策略与方案。文

中选取了上海爱建证券有限责任公司作为研究对象，首先介绍和分析了国内外证

券经纪业务服务营销发展阶段及其典型模式，揭示了我国证券经纪业务服务营销

现存问题，并阐述了国外成功模式给我国证券经纪业务服务营销带来的启示。在

此基础上，通过对爱建证券经纪业务服务营销工作的实践调查，分别从爱建证券

经纪业务面临的外部和内部环境研究入手，分析了外部环境的机会和威胁以及内

部环境的优势和劣势，尤其是对爱建证券经纪业务服务营销能力进行了重点剖析。

其次，依据爱建证券经纪业务的战略规划，着重指出其作为中小证券公司要实现

战略规划目标，只有提高自身服务营销能力才能得到进一步发展。并针对性地提

出了7Ps服务营销组合的改进策略。最后，通过对爱建证券经纪业务服务质量和服

务失败与补救的分析和研究，相应地提出了弥补其服务质量差距策略和服务失败

与补救措施。

论文研究结合爱建证券经纪业务服务营销工作的实际情况，构建了爱建证券

经纪业务服务营销的基本方法和手段，可对其他中小证券公司的服务营销策略制

定及服务营销能力提高提供一定的参考借鉴作用。

关键词：爱建证券经纪业务服务营销

ABSTRACT

With the domestic security brokerage business continues to develop. the security

market practitioners, investors and rapid increase in market variety, business

competition constantly intensified. In this context, the securitie company's marketing

awareness and sense of service has greatly enhanced. Displayed the transformation of

marketing models and service models. Marketing model transformation is a change of

"shopkeeper" to "salesmen". The security business take the initiative to find out target

customers by creating professional marketing team. Service model transformation is the

security business provide customers with the trading channel services, while providing

customers with specialized, differentiated, personalized investment advisory and other

value-added services, providing customers with services of a variety of targeted investor

demand financial product configuration and sales .and thus provide investors with a full

range of wealth management services, so as to promote marketing with service.

Significant changes in these two areas will not only help to enhance the core

competitiveness of security companies, but also conducive to upgrading the securities

industry, relative to other financial sector's competitiveness Therefore, further enhance

the service marketing awareness, strengthen service marketing strategy analysis is an

important way for security companies in an invincible position in the competition.

Securities’organization system in China, the existence of small and medium

security companies have a reasonable exist necessity, and played an irreplaceable role.

Currently small and medium security companies are difficult to obtain all kinds of

innovative business qualification for net capital’s small-scale, so its future survival and

development space are narrow. Therefore, the development of small and medium broker

must proceed from reality,combined with their specific circumstances and seeked itself

reasonable position accurately. Striving for shaping differentiation advantage in a class

of business or region, and should not pursue blindly for expanding the scale and

all-round development.. An important means of establishing differentiation advantages

can not do without the full range of improving service marketing capabilities. Intense

market competition is to promote the external pressure of small and medium security

companies’ service marketing reforms. Diversification of customer needs is to promote

the intrinsic motivation of small and medium securities company.

This article aims to explore revenue maximization on the small and medium

companies’ brokerage service marketing strategies and programs. Select the text of the

Shanghai AJ Securities Co., Ltd. for the study. First of all ,the article referraled and

analysed the typical mode and development stage of the domestic and international

securitie brokerage service marketing. Revealed the existing problems of

securitie brokerage business service marketing in China. And expounded the

implications of foreign successful model to our securitie brokerage service marketing.

On this basis,through the practice investigation on AJ securities brokerage service

marketing, started separately from the research of the external and internal environment

AJ securities brokerage business will be in face of . Analysed the opportunities and

threats in external environment and the strengths and weaknesses in internal

environment. Especially focused on analysis of the capabilities of AJ securities

brokerage business service marketing. Second, according to AJ brokerage business

strategic planning, Highlighted as a small and medium securitie company to achieve

strategic planning goals, Only improve their own service marketing capabilities to

further develop. And pertinencely put forward 7Ps service marketing mix ‘s

improvement strategies. Finally, through the analysis and study of AJ securities

brokerage business’service quality and service failure and remedy, Accordingly

proposed to make up for its service quality gap strategies and service failure and remedy

measures.

The study combined with the actual work situation of AJ securities brokerage

business service marketing, Constructed the basic methods and means of AJ securities

brokerage service marketing, and provide some references for other small and medium

securitie companies to establish service marketing strategies and enhance service

marketing capabilities.

Key Word: AJ secutities, brokerage business, service marketing

中文摘要

ABSTRACT

第一章绪论 ····················································································1

§1.1 研究背景 ·············································································1

§1.2 研究意义 ·············································································2

§1.3 相关概念界定 ·······································································4

§1.4 研究框架 ·············································································5

§1.5 研究方法 ·············································································6

第二章理论基础与文献综述 ··································································7

§2.1 服务营销理论 ·······································································7

§2.1.1 服务营销概念 ·································································7

§2.1.2 服务营销组合 ·································································7

§2.1.3 服务营销演变 ·································································9

§2.1.4 服务营销战略 ······························································· 11

§2.1.5 服务质量管理 ······························································· 12

§2.2 证券经纪业务服务营销 ························································· 13

§2.3 运用的主要分析工具及其概念 ················································14

§2.4 文献综述 ··········································································· 15

§2.4.1 国外研究现状 ······························································· 15

§2.4.2 国内研究现状 ······························································· 17

第三章国内外证券经纪业务服务营销实践及启示 ······································ 19

§3.1 我国证券经纪业务服务营销发展阶段 ········································ 19

§3.2 美国证券经纪业务服务营销发展阶段 ········································ 20

§3.3 我国证券经纪业务服务营销应用模式 ········································ 20

§3.3.1 富友模式 ····································································· 20

§3.3.2 西南证券的客户关系小组 ················································21

§3.3.3 国信模式 ····································································· 22

§3.3.4 三种模式的比较分析 ······················································ 23

§3.4 美国证券经纪业务服务营销典型模式 ········································ 23

§3.4.1 证券经纪人模式 ···························································· 23

§3.4.2 折扣经纪商模式 ···························································· 24

§3.4.3 综合模式 ····································································· 24

§3.4.4 三种模式的比较分析 ······················································ 25

§3.5 我国证券经纪业务服务营销发展趋势 ········································ 26

§3.6 我国证券经纪业务服务营销现存问题 ········································ 26

§3.7 美国典型服务营销模式带来的启示 ··········································· 28

第四章爱建证券经纪业务外部环境分析 ·················································29

§4.1 爱建证券简介 ·······································································29

§4.2 宏观环境分析（PEST）························································· 30

§4.2.1 政治法律环境 ······························································· 30

§4.2.2 经济环境 ····································································· 31

§4.2.3 社会文化环境 ······························································· 31

§4.2.4 技术环境 ····································································· 32

§4.3 行业环境分析（五力模型） ···················································· 32

§4.3.1 潜在入侵者分析 ···························································· 33

§4.3.2 替代品分析 ·································································· 33

§4.3.3 需求方分析 ·································································· 34

§4.3.4 供给方分析 ·································································· 34

§4.3.5 行业内现有竞争程度分析 ················································34

§4.4 外部环境的机会与威胁分析(EFEM) ·········································· 35

第五章爱建证券经纪业务内部环境分析 ·················································37

§5.1 爱建证券经纪业务交易能力分析 ·············································· 37

§5.2 爱建证券经纪业务管理能力分析 ·············································· 38

§5.3 爱建证券经纪业务服务营销能力分析 ········································ 40

§5.3.1 目标客户现状 ······························································· 40

§5.3.2 服务产品能力 ······························································· 41

§5.3.3 服务价格能力 ······························································· 41

§5.3.4 服务渠道能力 ······························································· 42

§5.3.5 服务促销能力 ······························································· 42

§5.3.6 服务人员能力 ······························································· 43

§5.3.7 服务过程能力 ······························································· 48

§5.3.8 服务有形展示能力 ························································· 50

§5.4 内部环境的优势与劣势分析(IFEM) ··········································· 53

第六章爱建证券经纪业务发展战略及服务营销改进策略 ····························· 55

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摘要：

摘要随着国内证券经纪业务的不断发展，证券市场的从业人员、投资者以及市场品种快速增加，业务竞争不断加剧。在此背景下，证券公司的营销意识和服务意识有极大的提升，表现为营销模式和服务模式的转型。营销模式转型就是变“坐商”为“行商”，通过组建专业的经纪业务营销队伍，主动走出去寻找目标客户。服务模式转型就是经纪业务在为客户提供交易通道服务的同时，为客户提供专业化、差异化、个性化的投资咨询等增值服务，为客户提供有针对性的、适合投资者需求的各种金融产品配置与销售的服务，进而为投资者提供全方位的财富管理服务，做到以服务促营销。这两方面的重大转变，不仅有利于提升证券公司的核心竞争力，也有利于提升证券行业相对其他...

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