How to become a financial advisor

transcript

Financial Advisor

How to Become a

Get That License

Obtaining a professional license is a necessity.

Certified Financial Planner

You have to take preparation courses in an

accredited college or university.

Certified Financial Planner

After which, you have to pass a two-day examination.

Chartered Financial Analyst

Becoming a CFA means you have to obtain mastery of a rather

complicated curriculum;

at the same time you have to pass three separate exams,

along with having work experience and bachelor’s

degree.

Registered Investment

Advisor

Registered Investment Advisor

You will receive compensation in return for offering professional

financial advice.

A registered investment advisor has to pass the Series 66

examination…

as well as the Series 6 or 7 examinations.

Series 66

• The Uniform Combined State Law Examination

• Intended for aspiring securities agents, investment advisors and representatives.

Series 6

• Investment Company Products/Variable Life Contracts Representative Examination

The purpose of taking and passing the exam is to become licensed in selling security products, specifically:

• mutual funds• unit investment trusts• variable annuities• closed-end funds

This is NOT for stockbrokers to take because the license does not include stock…

direct participation programs, and corporate securities.

Series 7

• General Representative Examination

• It is the required exam for stockbrokers.

Willis Consulting is a financial services recruiting firm.

Our finance job recruiters are experienced and know where all the job opportunities are.

If you are seeking a financial advisor, broker, or banking job, CALL us at 310-373-7400…

or submit your resume:

http://www.willis-consulting.com/apply-financial-services-job.

Los Angeles Office: Corporate Headquarters719 Yarmouth Road, Suite 203Palos Verdes Estates, CA 90274310-373-7400 PST

Scottsdale Office15051 N Kierland Blvd, Suite 210Scottsdale AZ 85254480-361-9490 PST

New York Office244 5th Avenue, Suite 1855New York NY 10001212-726-2041 PST

http://willis-consulting.com/

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