How Do I Become a Financial Sales Consultant?

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  • Written By: Kesha Ward
  • Edited By: C. Wilborn
  • Last Modified Date: 02 December 2019
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Anyone who would like to become a financial sales consultant may find that the career offers stability and growth. In fact, the financial sales industry is predicted to continue to see growth as the population increases and more individuals become interested in financially investing in their future. The path to become a financial sales consultant is varied and depends on your professional goals. You will need to gain educational and practical experience to work as a financial sales consultant; this will include taking classes and working as an intern or another entry level position. You will also typically need to obtain a license to sell securities and other financial instruments.

One of the first steps to become a financial sales consultant is to take college-level courses. Earning a college degree with a strong emphasis in business administration, finance, or accounting may help you to enter the profession. If you have extensive experience and knowledge in the area of finance, however, you may be able to bypass some of the educational requirements or use your prior work experience to gain credit toward a degree.


In most cases, you will have to pass a licensing exam to become a financial sales consultant; this is especially true if you will be selling securities. There are a number of exams that can be taken to qualify you to work as a financial sales consultant, and the exam you will need to take will depend on where you expect to work and what your primary job function will be. The most common license that consultants pursue is a license to sell securities. Passing securities and finance related exams requires extensive study and preparation. You can obtain study guides for securities examinations by contacting the board that administers the exam.

It is becoming more common for employers to review candidates' credit history prior to offering financial employment. It is a good idea review and clean up any problematic credit entries before you attempt to become a financial sales consultant and apply for positions in the field. If you have had credit problems in the past and have shown that you are responsible by cleaning up your credit, you will be in a better position than if you have an existing negative credit history. Current credit problems may suggest to an employer that you are ill-equipped handle the responsibility of managing clients' financial matters. In some cases, even a poor driving record or DUI history can result in difficulty getting hired.

You should also work to develop a tough skin if you plan to become a financial sales consultant. Selling financial instruments will be required for the job, and you will need to be able to handle rejection graciously and professionally. Prospecting and pursuing sales is a large part of the job, and in your role you will have to contact potential clients to get them interested in and knowledgeable about your services.


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