How Do You Become a Stockbroker?

To become a stockbroker, get a degree in finance or business, pass a background check, pass multiple exams, and find work at a financial firm. Stockbrokers often have an extroverted personality and strong determination to become successful.

  1. Obtain a degree

    Obtain an undergraduate degree in such fields as financial planning, accounting or economics. Continue your studies at the graduate level to obtain further technical knowledge and qualify for the CFP board exam.

  2. Pass background checks

    Submit to background checks that cover your criminal record and credit score. Pass a broker-sponsored securities license test to further qualify as a stockbroker.

  3. Pass all necessary exams

    Pass a series of exams, such as the Series 7 exam, which is for becoming a general securities representative. Pass the Series 63 exam to conduct business as a stockbroker. Pass the Series 65 test to become a Registered Investment Advisor for managing money platforms. Pass the Series 3 exam to sell commodities futures contracts, and pass the Series 31 test to sell managed futures funds.

  4. Find a job

    Search firms to get a job as a stockbroker, and pass a series of personality tests as a requirement to get the job. Choose to become an independent broker, bank broker or discount broker. Obtain clients through such methods as seminars, networking and cold-calling.