Sales & Retail training

Financial Services Sales Agent Training

Learn what financial services sales agents do and how they do it: a semi-in-depth, practical course covering the role, vocabulary, common procedures, safety and career launch.

Updated By the Career Education Institute Curriculum Team
Enroll nowView syllabus
What you’ll learn in Financial Services Sales Agent training

A practical, general introduction to the financial services sales agent job: what the role involves, 15+ key terms, how to perform common tasks such as assess a client’s risk tolerance and build a diversified portfolio, safety essentials and how to launch your career. Online, self-paced, about 12 hours, $109.99.

  • Tuition
    $109.99
    Volume pricing from 2 seats
  • Length
    12 hours
    10 modules
  • Format
    Online
    Self-paced, any device
  • Access
    12 months
    LMS access
  • Level
    Beginner
    To intermediate
  • You receive
    Certificate
    Of completion

Learning outcomes

By the end of this course you will be able to:

  • Explain what a financial services sales agent does day to day, where they work and how the role fits into the team
  • Use 15+ essential financial services sales agent terms correctly
  • Walk through assess a client’s risk tolerance, build a diversified portfolio, and document a client recommendation step by step
  • Identify the tools, equipment and technology used on the job
  • Apply core safety, compliance and professional standards
  • Map your path into the field, including credentials such as FINRA SIE

Course syllabus

10 modules, about 12 hours in total.

MODULE 01Introduction to the Financial Services Sales Agent Role1 hr
  • What financial services sales agents do and why the role matters
  • Where they work: settings, employers and teams
  • Pay, job outlook and the career ladder
  • Professional and ethical expectations
MODULE 02A Day on the Job45 min
  • A realistic shift, start to finish
  • Schedules, shifts and workload
  • Working with supervisors, coworkers and customers
  • The best and hardest parts of the job
MODULE 03Essential Financial Services Sales Agent Vocabulary1 hr 10 min
  • Key term: Stock
  • Key term: Bond
  • Key term: Mutual fund
  • Key term: ETF
  • Key term: Portfolio
  • Plus 10 more terms with practice drills
MODULE 04Core Duties and Responsibilities1 hr 10 min
  • Build and manage client relationships
  • Assess clients’ financial goals and risk tolerance
  • Recommend investments and products
  • Execute trades and transactions
  • Monitor accounts and markets
MODULE 05Common Tasks, Step by Step2 hr 40 min
  • How to assess a client’s risk tolerance
  • How to build a diversified portfolio
  • How to document a client recommendation
  • Common mistakes and how to avoid them
MODULE 06Tools, Equipment and Technology1 hr
  • Trading platforms
  • Financial planning software
  • CRM systems
  • Market data tools
  • Spreadsheets
MODULE 07Safety, Compliance and Professional Standards1 hr 25 min
  • Follow FINRA and SEC rules
  • Protect client data
  • Avoid conflicts of interest
  • Manage stress during volatile markets
MODULE 08Skills Employers Look For1 hr
  • Investment products
  • Financial markets
  • Portfolio basics
  • Trustworthiness
  • Communication
MODULE 09Launching Your Financial Services Sales Agent Career1 hr
  • Education and training pathways
  • Credential overview: FINRA SIE
  • Credential overview: FINRA Series 7
  • Resume and interview preparation
  • Your first 90 days on the job
MODULE 10Final Knowledge Check1 hr
  • Comprehensive practice exam with explanations
  • Certificate of completion on passing

Who this training is for

  • Students: find out what the financial services sales agent job is really like before choosing a program or major.
  • Career changers: test-drive the field and build vocabulary and confidence before investing in formal training.
  • New hires and employers: shorten ramp-up time with a consistent foundation for every new financial services sales agent.

Pricing

$109.99 per learner. Buying for a team? Volume pricing applies automatically from 2 learners.

SeatsDiscount
2 to 101% off
11 to 202% off
21 to 503% off
51 to 1005% off
101 to 2507% off
251 to 5008% off
501 to 1,00010% off

Free preview lessons

Sample the course material for free:

Why train for this career

Securities, commodities and financial services sales agents connect buyers and sellers in financial markets and sell investments and financial products such as stocks, bonds, mutual funds and retirement accounts. BLS reports a median wage of $78,660 (May 2025) and about 35,100 openings per year. Read the full financial services sales agent career profile or see salary details.

Enroll in Financial Services Sales Agent Training

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Course Financial Services Sales Agent Training · 12 hours · $109.99 per learner

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Financial Services Sales Agent training FAQ
How long is the Financial Services Sales Agent training?
About 12 hours, online, self-paced. You get 12 months of LMS access, so you can learn around work or school.
How much does the Financial Services Sales Agent training cost?
$109.99 per learner. Volume pricing applies automatically from 2 learners, up to 10% off for large groups.
Is the course online?
Yes. The course runs on our online learning platform (LMS). After you enroll, we email your login details.
Will this course make me a licensed or certified financial services sales agent?
No. This is a general career-preparation course. It does not by itself grant a state license, national certification or academic credit. 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. It is designed to help you understand the job and prepare for the formal training, exams and interviews that follow.
Who is this course for?
Students exploring careers, adults changing careers, new hires who want a faster ramp-up, and employers onboarding financial services sales agents.
How do I enroll?
Use the enrollment form on this page. It opens a pre-filled email to our team, and we reply with your payment link or invoice and your LMS access. You can also call 1-866-429-6742.
Do you offer group or employer pricing?
Volume pricing from 2 seats. Choose “My team or employees” on the form or visit our employer training page.
What do I receive when I finish?
Certificate of completion from Career Education Institute after you pass the final knowledge check.


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