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Financial Advisor Program Overview

Certification Requirements

Financial Advisor Certification Requirements

Explore Your Options for Achieving Financial Advisor Education Requirements and Certification

Enhance your professional value and reputation by pursuing certification and licensure exams to be a financial advisor. Choosing the right certifications or exams to be a financial advisor will depend on your short-and long-term professional goals. Most aspiring financial advisors will pursue several tests.

At the Financial Advisor Training Institute, we provide you with the tools and techniques to meet financial advisor education requirements and help you find success in the industry. Our accelerated, online certificate program prepares you for some of the most common exams to be a financial advisor, including:

  • Securities Industry Essentials
  • Series 7 licensure
  • Series 66 licensure
  • State-specific life and health insurance licensure
  • Variable contracts

You might wonder: What are the Series 66, the Series 7 license, and the other licenses? Learn more about the financial advisor licenses our graduates obtain in the following order.

What is the Life and Health Insurance Exam?

While the use of insurance products by many Financial Advisors can vary greatly, state timeframes to formally register you varies. To accommodate, this is the first license you will obtain.

To sell or implement insurance products, your financial advisor's education requirements will include a state insurance license exam. Good news! Financial Advisor Training Institute graduates have a 94.7% first-time pass rate on these state exams.

  • You’ll need to learn more about insurance products and state procedures prior to taking an exam to be a financial advisor who can also work with insurance products. While rules and regulations vary by state, once you’ve passed your state-specific exam, you will be able to work on behalf of an insurance company or sell its products.

What is the Securities Industry Essentials?

Securities Industry Essentials (SIE) is the first securities exam you will encounter as you work through your financial advisory certification requirements and pursue a license for financial advisor jobs. Administered by the Financial Industry Regulatory Authority (FINRA), the SIE tests your basic understanding of financial products, industry terminology, laws and regulations, markets, and their functions, among other topics.

You’ll need a passing score of 70% on this 85-question, multiple-choice exam. This is where graduates of the Financial Advisor Training Institute shine. Our graduates have a 90% first-attempt pass rate, which is well above the average first-time pass rate of 74%, according to the FINRA.

Before you learn more about what is a Series 7 license and other certifications, you must pass the SIE exam to pursue a license for financial advisors. At the Financial Advisor Training Institute, we have a proven track record of helping aspiring financial advisors reach their professional goals and secure a license for financial advisors.

What is a Series 7 License?

Once you’ve successfully completed the SIE financial advisor education requirements, your next step will be to take the Series 7 exam. So, what is a Series 7 license?

Known as the most challenging license for financial advisors to attain, the Series 7 is administered by FINRA. It will not only test you on what you know about general securities but also measure your readiness to sell complex financial products.

The Series 7 exam requires that all test takers have sponsorship. At the Financial Advisor Training Institute, you won’t have to worry about how to get a Series 7 license without a sponsor. We provide you with sponsorship so you can easily meet financial advisor education requirements.

To attain requirements for a Series 7 license, you will need to get at least 72% of the 125 multiple-choice questions correct. If you’re successful, you’ll gain the ability to sell bonds, futures, individual stocks, options, and packaged securities.

  • While FINRA last reported that the Series 7 first-time pass rate was 71%, graduates of the Financial Advisor Training Institute have a first-time pass rate of 85% on the Series 7 license exam. Financial Advisor Training Institute expert faculty members have a well-respected history of getting you ready for licensure exams, as well as rewarding careers as financial advisors.

What Is a Series 66 License?

Now that you know more about what is a Series 7 license, the next exam you’ll want to consider is the Series 66 exam. So, what is a Series 66 license?

The Series 66 exam is also administered by FINRA and covers a range of topics — from investment vehicle characteristics to economic factors, laws, and regulations to unethical business practices and much more. You will need to get at least 73 questions — out of 100 — correct in 150 minutes or less to successfully earn a Series 66 license.

So, what is a Series 66 license pass rate? It varies from state to state, but at the Financial Advisor Training Institute, our graduates have an 88% first-time pass rate. Once you have successfully passed both the Series 7 and Series 66 exams, you’ll be able to register as a financial advisor in your home state.

Gain the Financial Advisor Certification Requirements You Need at the Financial Advisor Training Institute

Become a financial advisor in just 14 or 28 weeks through the Financial Advisor Training Institute’s online, accelerated coursework. We offer an established, online program that prepares you to meet financial advisor education requirements. You’ll gain industry insights, plus the knowledge and skills that set you up to join this rewarding profession.

When you complete our certificate program and pass the necessary exams to be a financial advisor, you’ll have guaranteed career placement with one of our more than 50 financial brokers and dealers. Why pursue financial advisor certification requirements anywhere else? The Financial Advisor Training Institute has the expertise and proven results you need to succeed.

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What Students/Graduates Are Saying

"I had been thinking of becoming a Financial Advisor for years, FATI gave me the support and structure to make it happen"

"I'm so excited for my new career, FATI set me up with a wonderful company, thank you for making this happen!"

"Starting my new career, my boss is impressed with how much I know about the industry and I'm off to an amazing start business wise. All I have to do is run the game plan FATI helped me develop"

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