Career roadmap
How to Become a Financial Services Sales Agent
The education, training, certifications and steps it takes to start working as a financial services sales agent, plus how long it takes and where the career can lead.
To become a financial services sales agent: (1) earn a degree, (2) pass the SIE, (3) get hired by a firm, (4) build a client base, (5) advance. Most people need about 4 years plus licensing. BLS lists “bachelor's degree” as the typical entry-level education.
5 steps to become a financial services sales agent
Earn a degree
Finance, economics or business.
Pass the SIE
Take the entry exam.
Get hired by a firm
Firms sponsor Series 7 and state exams.
Build a client base
Prospect and grow relationships.
Advance
Become a financial advisor, CFP or wealth manager.
Education and training requirements
A bachelor’s degree in finance, business, economics or a related field is typical. Agents must pass FINRA exams and state licensing exams.
| Typical entry-level education (BLS) | Bachelor's degree |
|---|---|
| Related work experience | None |
| On-the-job training | Moderate-term on-the-job training |
| Typical training time | 4 years plus licensing |
Certifications and licenses
- FINRA SIE: Securities Industry Essentials exam.
- FINRA Series 7: General Securities Representative license.
- Series 63, 65 or 66: State securities and advisor licenses.
- Certified Financial Planner (CFP): Financial planning credential.
Skills to build now
Start with investment products, financial markets, and portfolio basics, and practice trustworthiness and communication. Learning the financial services sales agent vocabulary early makes training and interviews easier.
Where the career can lead
- Financial Services Representative: Serve clients and learn products.
- Financial Advisor: Manage client relationships.
- Senior Advisor or Wealth Manager: Manage larger portfolios.
- Branch Manager or Partner: Lead advisors or own a practice.
Get a head start
Our self-paced Financial Services Sales Agent training gives you a realistic, practical overview of the job (duties, terminology, step-by-step tasks, safety and interview prep) so you can decide with confidence and show employers you’re serious.
Common questions about getting started
Do financial sales agents need a degree?
Usually, yes.
How long does it take to become a financial services sales agent?
Most people need about 4 years plus licensing of training. A bachelor’s degree in finance, business, economics or a related field is typical. Agents must pass FINRA exams and state licensing exams.
Do you need a degree to be a financial services sales agent?
Usually. BLS lists a bachelor’s degree as typical, and firms often require one. Some agents enter from bank or insurance roles and pass FINRA licensing exams while working.
What certifications are available for financial services sales agents?
Common credentials include FINRA SIE, FINRA Series 7, Series 63, 65 or 66, and Certified Financial Planner (CFP). Agents who sell securities must be registered with FINRA through a sponsoring firm, pass the SIE and qualification exams such as the Series 7, and meet state licensing requirements.
Sources
- U.S. Bureau of Labor Statistics, BLS Occupational Employment and Wage Statistics (OEWS), May 2025, SOC 41-3031 (Securities, commodities, and financial services sales agents).
- U.S. Bureau of Labor Statistics, BLS Employment Projections, Table 1.2 (2025–35).
- O*NET OnLine summary for Securities, commodities, and financial services sales agents (U.S. Department of Labor).
- BLS Occupational Outlook Handbook.
Reviewed by the Career Education Institute Curriculum Team. Pay figures are national estimates; local pay varies. See our editorial policy.