Financial Advisor Interview Questions

The Questions All Financial Advisor Candidates Should Know

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Financial advisor positions vary from one company to another; however, there are a number of questions that you are likely to be asked in any financial advising interview.

These questions include a combination of behavioral interview questions, questions about your knowledge of regulatory issues, as well as job-specific questions to determine your ability, qualifications, skills and potential for success.

Below are some of the most common questions.

Financial Advisor Interview Questions

Why do you want to be a financial advisor?

What licenses and certifications do you have? What plans do you have to acquire additional licenses and certifications?

What sales experience do you have? (for entry-level candidates)

Tell me about your education and professional development as it qualifies you for this job.

What is the average portfolio of your clients? (for experienced candidates)

Are you comfortable meeting with clients on person and talking to them on the phone?

Tell me about your ability to establish rapport with prospective clients.

Are you connected to the community?

What are your wealth management strategies?

If I were a client, why should I work with you?

Without compromising any confidentiality, tell me about your success in wealth management for your clients.

In what stages of their investment paths are the majority of your clients?

Are they early-term investors, pre-retirement, or otherwise?

How do you achieve your goals?

How do you build relationships with clients? How do you approach clients who are neophyte investors? What about seasoned investors -- how do you establish credibility with these clients?

How will you grow your book?

How big is your current book of business?

What kind of growth have you experienced in previous financial advisor positions?

Describe a situation in which you went above and beyond for a customer.

What is the difference between a broker/dealer and a financial advisor?

Do you consider yourself conservative or a risk taker? How to explain your personal investment style to investors whose investment styles differ from your own?

Describe your love for numbers, finance and the type of work you do.

Describe a time when you had to help someone make a difficult decision.

How many people do you know salaried at 100k or more in a year?

How do you stay current on tax and investment laws and regulations?

What are your career goals? Where do you want to be in five years and ten years?

If we were to hire you, what would be your expectations for this firm? And, if we hire you, what do you bring to the organization?

More Interview Questions and Answers
Common job interview questions, plus sample answers you can use to practice for a job interview.

Questions to Ask the Employer
Don't forget to be prepared with a list of questions to ask. Here are interview questions to ask the employer, as well as questions you shouldn't ask an interviewer during a job interview.

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