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How to Become a Financial Advisor


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Mortgage Originator Jimmy Vercellino, specializing in VA loans, helps veterans use their VA loan benefit to their greatest advantage. For more details call us at 480-351-5904 or visit our site

The views expressed here are those of the individual author and do not necessarily represent those of First Choice Bank (NMLS #: 177877) and First Choice Loan Services Inc. (NMLS #: 210764), 7600 E. Doubletree Ranch Road, Scottsdale AZ 85258. Equal Housing Lender.

7600 E. Doubletree Ranch Road #200
Scottsdale, AZ 85258
Phone: (480) 351-5904

Published in: Economy & Finance, Business
  • For becoming a good financial advisor a lot of things should be kept in mind. He must have a license. He must be certified. Have a sufficient knowledge about financial management.
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How to Become a Financial Advisor

  1. 1. Financial AdvisorHow toBecome a
  2. 2. Get That License
  3. 3. Obtaining a professionallicense is a necessity.
  4. 4. CertifiedFinancialPlanner
  5. 5. Certified Financial PlannerYou have to takepreparation courses in anaccredited college or university.
  6. 6. Certified Financial PlannerAfter which, you have to passa two-day examination.
  7. 7. CharteredFinancialAnalyst
  8. 8. Chartered Financial AnalystBecoming a CFA means you haveto obtain mastery of a rathercomplicated curriculum;
  9. 9. Chartered Financial Analystat the same time you have topass three separate exams,
  10. 10. Chartered Financial Analystalong with having workexperience and bachelor’sdegree.
  11. 11. RegisteredInvestmentAdvisor
  12. 12. Registered Investment AdvisorYou will receive compensation inreturn for offering professionalfinancial advice.
  13. 13. Registered Investment AdvisorA registered investment advisorhas to pass the Series 66examination…
  14. 14. Registered Investment Advisoras well as the Series 6 or 7examinations.
  15. 15. Series 66• The Uniform Combined State LawExamination• Intended for aspiring securities agents,investment advisors andrepresentatives.
  16. 16. Series 6• Investment Company Products/VariableLife Contracts RepresentativeExamination
  17. 17. The purpose of taking and passingthe exam is to become licensed inselling security products, specifically:
  18. 18. • mutual funds• unit investment trusts• variable annuities• closed-end funds
  19. 19. This is NOT forstockbrokers to takebecause the license doesnot include stock…
  20. 20. direct participationprograms, andcorporate securities.
  21. 21. Series 7• General Representative Examination• It is the required exam forstockbrokers.
  22. 22. Willis Consulting is a financialservices recruiting firm.
  23. 23. Our finance job recruiters areexperienced and know whereall the job opportunities are.
  24. 24. If you are seeking a financialadvisor, broker, or banking job,CALL us at 310-373-7400…
  25. 25. or submit your resume:
  26. 26. Los Angeles Office:Corporate Headquarters719 Yarmouth Road, Suite 203Palos Verdes Estates, CA 90274310-373-7400 PST
  27. 27. Scottsdale Office15051 N Kierland Blvd, Suite 210Scottsdale AZ 85254480-361-9490 PST
  28. 28. New York Office244 5th Avenue, Suite 1855New York NY 10001212-726-2041 PST
  29. 29.