From banking to financial advising: How this investment professional built a successful career

Looking to make a career switch and enter the world of finance? Brandon Nichols, an investment professional, shares how he transitioned from a career in banking to financial advising and passed his FINRA exams on his first try.

Thousands of test-takers like Brandon have used our online course to prepare for and pass their financial licensing exams. These are real people with real stories to help you navigate your own journey. Read below to learn how Achievable can help set you up for a successful career in finance.

What motivated you to take this exam?

“My Achievable story begins in my mid-30s, when I worked in a project management position for a large bank. I could have remained on that career path, but I'm too much of a people person to be in a position that isn't client-facing.

I spoke with my father-in-law about being a financial advisor. He's owned an independent financial group for many years. We discussed potentially working together, so I told him, "Let me take the SIE and see if this is the career path that I want to pursue."

What was the biggest challenge you faced during your prep?

I have an MBA but no direct experience with securities, so I wasn't exactly starting from scratch, but it was close. I grabbed a highly-rated study book from Amazon and read through it, but not enough was sticking. I decided to read through the SIE subreddit to see what other students were doing. From there, I was turned on to a YouTube tutor named Ken Finnen. He was terrific, but I wanted an online study program that felt like a college course.

Ken talked up Achievable and included a referral coupon code in his video. His expertise earned him my trust, so I decided to take his advice and give Achievable a try.

What role did Achievable play in your prep?

I immediately noticed how exceptional the material was. I found it very informative without being too wordy. I appreciated that the material felt like it was written to someone in my age range. It referenced events that I was familiar with and used illustrations from pop culture that I knew well. The quiz questions did a wonderful job of drilling in core concepts. The entire website was user-friendly, and I intuitively knew how to use everything.

How did you feel going into test day?

I studied for about three weeks before taking the SIE. I went in confident, and every question was something I was familiar with. I found that I knew the answers to a point where I could describe why my answer was correct and why the other answers were wrong, which is exactly how Achievable explains their answers. I clicked submit on the test and was elated, but not surprised, that I passed!

Looking back, what would you do differently, if anything?

Looking back, I didn't need that first exam book; I just needed Achievable. But I'm glad I found it and spent my summer learning.

What’s next for you now that you’ve finished the exam?

I resigned from my bank, got hired by my father-in-law, and then we had our broker-dealer open my window for the Series 7 Exam. I was dedicated to studying full-time for weeks. I continued to use Achievable, and I'm so glad I did. I drilled core concepts until I couldn't get them wrong. I walked into the Series 7 confident, and as each question came up on the screen, my confidence grew. Achievable quiz questions had drilled key concepts in my head that I was using, such as ADRs = tax credits and various options strategies. When I passed, I wished I had my actual score because I was so proud of how well I did.

The next day, my studies for the Series 66 began. It was the same experience as the other exams. I passed it on the first attempt, and I was so confident during the exam.

Now, my new career is hitting the ground running, and I'm thankful for the knowledge and confidence I've gained thanks to all the hard work the folks at Achievable have put into building such an excellent program!

Thanks again!

You can try our SIE course for free to see if it fits your learning style. And perhaps, someday, you will share your journey with us and others here as well!

Best of luck!