How to become a Financial Dealer and Broker

Financial dealers and brokers conduct financial market transactions on behalf of clients and offer advice on financial matters.

Personal requirements of a Financial Dealer and Broker

  • Good communication and relationship-building skills
  • Able to make calculations quickly and accurately
  • Aptitude for using computers
  • Able to work independently
  • Able to work under pressure
  • Aptitude for research
  • Analytical and planning skills
  • Interested in the financial market

Education & Training for a Financial Dealer and Broker

To become a financial dealer and broker you usually have to complete a degree in commerce, accounting, finance, economics or actuarial studies at university. Entry to this occupation may be improved if you have a double degree (possibly combining a relevant field with law). To get into these courses you usually need to gain your Senior Secondary Certificate of Education. Prerequisite subjects, or assumed knowledge, in one or more of English and mathematics are normally required. Universities have different prerequisites and some have flexible entry requirements or offer external study. Contact the institutions you are interested in for more information. For further details, visit

Additional Information
Depending on the specific role, a postgraduate qualification may be required. You may also need to be licensed or registered in order to work in this field. In order to be licensed, you must meet the training requirements administered by the Australian Securities and Investments Commission (ASIC). Details can be found on the ASIC website ( You may also be required to become a member of a particular professional association. Contact the Australian Financial Markets Association or the Financial Services Institute of Australasia (Finsia) for further information.
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