Entry Level Financial Advisor Career Path – How To Become a Financial Advisor finance entry level jobs

by adminhuahinsunvilla3sd

What is the entry level financial advisor career path like? Have you ever wondered what being a financial advisor “day in the life” would be like? In this video, I’ll explain the paths on how to become a financial advisor. This is a question I get all the time and I want to cover the 4 basic paths today.

0:00 – The financial advisor career path
3:20 – There are differences between each channel. They are the bank (or wirehouse/captive), broker-dealer, independents (or registered investment advisors) and hybrids.
6:00 – There is a different standard in those channels—it is the suitability standard or the fiduciary standard.
8:58 – Why you may choose either has totally to do with you and what you believe. Can you serve the client’s best interest using either standard? What you would do for your parents should be what you do for clients.

Although entering the industry via the broker-dealer route is ultimately a lower bar and easier, is it the best route to go for you? What are your thoughts?
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Hi! I’m Dominique Henderson.

I help aspiring and existing financial professionals transform into “nex-gen” financial professionals so that they create impact in the financial services industry without compromising their morals or ethics to fulfill sales quotas. We do this inside the Jumpstart Community for Financial Professionals!

The Jumpstart Community for Financial Professionals is the 1st international community built for the nex-gen financial professional! Want to learn more, check us out:

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© 2019 DJH Capital Management, LLC.
Hosted By: Dominique J. Henderson, Sr., CFP® .

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Jumpstart YOUniversity 22/02/2022 - 7:04 Chiều

⚡️ Join my FREE community and jumpstart your career in financial services! https://www.jumpstartcoachinglab.com/

Shawn Landry 22/02/2022 - 7:04 Chiều

You don't need to take the sie to take the series 65.

Fredrick 22/02/2022 - 7:04 Chiều

I am rather new to this industry, about a year in and working for Fidelity, but I want to work independently. I have been in mortgage for 20 years and I am great at sales….. I am just looking for more independence than fidelity has to offer. I've always been 1099d. What are some good companies to work with if you are interested in building your own business?

m allen 22/02/2022 - 7:04 Chiều

Glad I found this page bro! I’m looking into a career change and you’re spot on. Thank you

Matt Abracosa 'student' 22/02/2022 - 7:04 Chiều

Just stumbled upon this video! Such informative advice and provides greater clarity on the pathways to reach my goal to become a financial advisor. Definitely will continue to follow your content.

G Pacman 22/02/2022 - 7:04 Chiều

Thanks for this info! Like and subscribed. Will be watching anything you have on finance.

GOSUmartialarts 22/02/2022 - 7:04 Chiều

Thanks for the video.

Calvin Persad 22/02/2022 - 7:04 Chiều

Hi Dominique, love your videos. I have a question regarding fees . I am thinking about starting my own FA company and wanted to know what the standard rate is to charge customers?

Sam Dracos 22/02/2022 - 7:04 Chiều

Great video. I’m looking into becoming an advisor. I’m currently employed at a regional bank and want to explore more options to advance my career.

Eli Wil 22/02/2022 - 7:04 Chiều

Say a person comes up to you in the mall and tries to recruit you to become a financial advisor and have you drive an hour for a class and pay for more classes. What channel would you say that he would most likely be or would it be a scam?

business king Pin 22/02/2022 - 7:04 Chiều

Good morning

PokemonBreakers 22/02/2022 - 7:04 Chiều

Am I able to open my own office or do I need an apprenticeship of some sort? Thank you

Leo Gayle 22/02/2022 - 7:04 Chiều

Hi Dominique, I am a Realtor and I advise my clients on everything real estate. I help them to buy smart and sell smart depending on the current market conditions. To help my clients further, I would like to advise them when it comes to investing outside of real estate as well. I would like to advise my clients when it comes to investing in the stock market.

Which path would you say is the best path for me?

Appreciate the info.

sincere531 22/02/2022 - 7:04 Chiều

What are your thoughts on Prudential? I’m making a career change and would love to be a Financial Advisor.

Pash Hunter 22/02/2022 - 7:04 Chiều

That you for breaking it down like this!
Much love to you and your channel!

Alfredo Arenas 22/02/2022 - 7:04 Chiều

I just passed the SIE and I am currently studying for my series 6. I was sponsored by Primerica. The thing is that I am a Mortgage Broker and I own my own mortgage brokerage business: Mortgages by Alfredo, LLC. but I would like to offer other products to my borrowers such as term life insurance (I also have an insurance license) and talk to them about opening an IRA account. So I am considering going for my series 7 (but I need someone to sponsor me cuz Primerica don't sponsor you to get a series 7) or Series 65 to ask as a Financial Advisor and charge a fee instead of a commission. To me, that is more fair. I would appreciate any advise. Thanks.

Daryl Armstrong 22/02/2022 - 7:04 Chiều

If I want give stock advice as a side gig what exam would i would take?

Timothy Huguenin 22/02/2022 - 7:04 Chiều

I was interested in pursuing a job with Edward jones because they seem to have such a great path toward certification and setting you up to work for them. However I don’t think I could sell their products very well. I have to really believe in the product to sell it. I think if vanguaard had a similar employment training program as Edward Jones I could be happy working for them

william young 22/02/2022 - 7:04 Chiều

very helpful

Crypto Ronin Dude 22/02/2022 - 7:04 Chiều

I want to get my series 66 to help my community invest in crypto.

Richard Press 22/02/2022 - 7:04 Chiều

Love the channel! Thanks for the great content! I’m looking to make a career change and I’m currently studying for the SIE. Do you have any recommendations for study materials? Any information is appreciated!

cbearlove88 22/02/2022 - 7:04 Chiều

Do you know anything about the reputation of equitable advisors?

alex 22/02/2022 - 7:04 Chiều

Hi! i’m a 14 year old girl sitting here so interested. Do I understand all the things your saying? Absolutely not, but I find it so interesting. Thank you!

SuperModelJaz 22/02/2022 - 7:04 Chiều

Higher standard; fiduciary standard, hybrid.

Fafie Chivasa 22/02/2022 - 7:04 Chiều

Just found this video. Please advise, what license does one need to have before applying for a Financial Advisory jobs from outside Canada or the US?

JOEY CAROMANO 22/02/2022 - 7:04 Chiều

I want to manage and invest people's money as a financial advisor but I do not want to be a sales guy or insurance agent. Anyone know any companies that are good to work for that do not throw their advisors out in the water and are strictly commission?

Matthew 22/02/2022 - 7:04 Chiều

What’s the more of a “post MBA” type path?

Erika Roldan 22/02/2022 - 7:04 Chiều

This was really helpful thank you!!

JB Wilde 22/02/2022 - 7:04 Chiều

Dominique – Is there ANY way to become a CFP without working for another group? I'm working full, full time and would not be able to drop this job to work for another company in order to acquire the ability to take licensing tests. I'd love to train, learn, self-educate, and take and pass the testing without working for someone else. Possible?

Kashfia Ahmed 22/02/2022 - 7:04 Chiều

Hi im doing ACCA, last 3 modules left, but in not enjoying it any further.I dont enjoy audit &stuffs.Im thibking of taking marketingcertificate & beside turn to cfp now. (as shorter and duable& not leave finance sector completely)Is it worth it ?any advice for me?

Rance Andrews 22/02/2022 - 7:04 Chiều

Hi Dominique! Enjoying your content! I’ve recently been looking to change careers into the financial services industry. Working to find the best path to take as I want to sell/recommend products I believe in without their being a conflict of interest. I went ahead and knocked out my SIE and am studying for the 66 since I can take it without a broker sponsorship. Looking forward to viewing more of your videos. Thanks!

Joshua Wells 22/02/2022 - 7:04 Chiều

Just found this video. Great job giving a high level over view. Been in the industry for a while and wish I had seen this years ago. Have to subscribe and see what else you have. Thanks again!

•_ 22/02/2022 - 7:04 Chiều

Here is the difference. Working for a broker can make you money maybe at the cost of your client. If you work fiduciary you might not make as much money but you are working for the client.
A business that values its clients is a smart business.
To me there really isn't an option, helping the community helps America and I am all for helping America. Heck right now I'm serving and when I am out I'm going to pursue a finance degree. I personally enjoy working with money to make money and its an incredible and satisfying feeling for me.

Michael Pilgreen 22/02/2022 - 7:04 Chiều

Would reading Security Analysis be a good way to prepare for SIE exam?

James Garcia 22/02/2022 - 7:04 Chiều

Fiduciary RIA all the way for me. I'm more of a planner/analyst than a salesman pushing product. I realize there is some overlap, but I cannot see me being a broker but an IAR instead.

JeffThe Entrepreneur 22/02/2022 - 7:04 Chiều

You do coaching too?

matt martin 22/02/2022 - 7:04 Chiều

I am currently in a healthcare field, and I am considering providing financial advice on the side. What degree or certification program do you recommend to be marketable as a part-time financial advisor?

A F 22/02/2022 - 7:04 Chiều

Very helpful video! Thank you!!

Edward Ramos 22/02/2022 - 7:04 Chiều

I’m learning from all the videos keep it up.

alejandro manriquez 22/02/2022 - 7:04 Chiều

@dominque Henderson Great video & advice!

Snickers99 22/02/2022 - 7:04 Chiều

Hi Dominique!

Great video. I'm so confused on what license to get and when. This helped clear it up. Do you think you can list the four channels you talked about and which license I would most likely need? For example, I'm hoping to take the independent channel…what would I need to get for that? Other than the SIE (which I know I need!), is it Series 7, 65, and 66? Thanks!

DAVID BURNS 22/02/2022 - 7:04 Chiều

https://youtu.be/xhU3iuH4rx0 check out this show Tea and Whiskey With Sunshine.


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