2 charles schwab financial advisors working on financial reports

Training To Become a Charles Schwab Financial Advisor

Learn how The Financial Advisor Training Institute prepares aspiring financial advisors for thriving careers at Charles Schwab and beyond.

Deep Industry Insight: FATI’s Curriculum

FATI’s curriculum is a carefully crafted foundation that provides an extensive understanding of the financial industry. Covering critical topics such as investment strategies, retirement planning, risk management, and effective client communication. FATI ensures its graduates are academically proficient and possess a profound grasp of the financial world's complexities.

Practical Skills: Merging Theory and Practice

In financial advising, especially at a firm like Charles Schwab, theoretical knowledge must seamlessly align with practical skills. FATI recognizes this necessity and integrates real-world simulations and case studies into its training. This hands-on approach bridges the gap between academic learning and practical application, preparing students for the challenges they will face in their roles at Charles Schwab.

Development of Soft Skills

Successful financial advisors at Charles Schwab excel in effective client management. FATI places significant emphasis on developing soft skills such as communication, empathy, and ethical decision-making. These attributes are vital for building trust and maintaining robust client relationships, aligning with Charles Schwab's commitment to exceptional client service.

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Get Certified: Meet Charles Schwab’s Financial Advisor Requirements

Professional certifications like the CFP or CFA are paramount for financial advisors aspiring to work at Charles Schwab. FATI prepares students for these certification exams and recognizes their importance in establishing professional credibility and recognition in financial advising.

Life and Health Insurance Exam

Aspiring financial advisors first obtain the Life and Health Insurance license, with FATI recognizing its significance and thoroughly preparing graduates for the state insurance license exam. Boasting an impressive 94.7% first-time pass rate, FATI ensures its students are well-versed in insurance products and state procedures, paving the way for opportunities to work for insurance companies or sell their products.

Securities Industry Essentials (SIE)

The SIE exam, the initial securities exam on the path to Financial Advisor Certification, tests a basic understanding of financial products, industry terms, laws, regulations, and markets. With a crucial passing score of 70%, FATI graduates excel with an impressive 90% first-attempt pass rate, exceeding the industry average of 74%, setting a strong foundation for further certifications and aiding aspiring financial advisors in reaching their professional goals.

Series 7

Upon completing SIE requirements, aspiring financial advisors navigate the challenging Series 7 exam, known for evaluating general securities knowledge and the ability to sell complex financial products. Achieving the Series 7 license requires answering at least 72% of the 125 multiple-choice questions, with FATI graduates boasting an impressive 85% success rate, reflecting the institute's track record in preparing students for licensure exams and rewarding careers in financial advising.

Series 66

After Series 7 success, financial advisors turn to the Series 66 exam, a vital step covering investment vehicles, economic factors, laws, regulations, and ethical practices. With a requirement to answer at least 73 out of 100 questions correctly in 150 minutes, FATI graduates achieve an impressive 88% first-time pass rate, securing credentials for registration as financial advisors in their home states. 

Career Services: Supporting Financial Advisors After Graduation

The transition from education to professional practice can be challenging. FATI’s career services provide crucial support in this transition, offering resume building, interview preparation, and job placement assistance—all tailored to help students launch successful careers at Charles Schwab.

Resume Building

FATI focuses on readying students for dynamic financial advising careers through a comprehensive curriculum that goes beyond theory. The institute ensures graduates possess versatile skills by exploring practical aspects like investment strategies and client communication. This hands-on approach deepens their grasp of financial complexities and offers experiences to highlight in a resume. FATI's emphasis on practical skills and industry-specific knowledge equips students with the expertise to navigate financial advising complexities and stand out in the job market.

Interview Prep: Excelling in Communication and Soft Skills

In financial advising, effective communication, and ethical decision-making are crucial. FATI places significant emphasis on soft skills, providing practical experiences in client interaction through scenarios and case studies. Students gain expertise in articulating complex financial concepts clearly. FATI's focused approach prepares graduates for interviews, ensuring confidence and skills to excel in discussions about intricate investment strategies and ethical considerations, contributing to success in securing positions at esteemed firms like Charles Schwab.

Job Placement Assistance: Transitioning to Professional Practice

Transitioning from education to practice is challenging, and FATI supports this shift through job placement assistance. Beyond theory, the institute provides practical insights into the financial advisory industry, aligning students with employer expectations. FATI's commitment to licensure preparation, demonstrated by impressive pass rates on exams like the Life and Health Insurance Exam and Series 7, enhances graduates' marketability. With a proven track record in licensing and dedication to soft skills development, FATI ensures students are well-prepared for successful job placements, facilitating a smooth transition to fulfilling financial advising careers.

Preparing for a successful career at Charles Schwab involves thoroughly understanding the industry, developing practical skills, and obtaining necessary certifications. The Financial Advisor Training Institute is crucial in this process, offering comprehensive education, hands-on experience, and licensure preparation. By choosing FATI, aspiring financial advisors are well-prepared to meet the high standards of Charles Schwab and excel in their careers.

Hear From One Of Our Recent Graduates Working As a Financial Advisor For Charles Schwab


hayder hassan financial advisor at charles schwab, in a blue blazer and shirt.

Hayder Hassan - Financial Advisor At Charles Schwab

"I decided to enroll into the Financial Advising Training Institute this past August. I already had my insurance and SIE completed so I was excited to get my series 7 and 66 licenses as well. Before applying to the program I had multiple interviews in the banking sector but only to lose the roles to someone who already had their 7 and 66. The FATI program was everything I hoped and more. The 14 chapters of business development really gives you a solid foundation of the industry. The Kaplan course that is provided will have you very confident going into your exams. The Redtail CRM is a common software used by most firms and you will get very familiar with it. Terry the CEO has been their every step of the way and is a great mentor and source to lean on. After completing my licenses and the course I received 2 offers, from JPMorgan Chase and Charles Schwab. I’m very appreciative and grateful for the opportunity the FATI program has given me and I’m excited for this next chapter of my life. I encourage anyone who is in a career stalemate or looking to advance their education to take the curriculum and become a financial professional. Thanks so much and I highly recommend!!"


Written By Terry Lindner

Board President and Chief Executive Officer at Financial Advisor Training Institute

Building the industry’s future pipeline with qualified, inspired talent. We exist to ensure the future preparedness of the next generation of retail Financial Advisors. By replenishing a depleting and aging workforce with a new, qualified talent pool, we can help uphold the financial well-being of the U.S. Economy and the American public at large.

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