Top Financial Advisor Interview Questions with Example Answers [2022]

Prepare for your Financial Advisor interview by going through these most asked Financial Advisor interview questions. Additionally, get access to sample answers and interviewer's expectations.

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  • Question: Why do you want to be an advisor and how will you help us?
  • Question Overview: This question is the most important of the interview. It is the employer's way of determining whether the applicant is a good fit for the position. The response will be a culmination of all the applicant's previous answers, so it is vital that they have a clear idea of what they want to do and how they can do it.

    Sample Answer: I want to be a financial advisor because I have always been interested in helping people with their finances. I believe my experience as a customer service representative and my knowledge of finance will help me succeed in this position.

      What the interviewer is looking for:
    • - Detailed explanation of why the applicant wants to be a financial advisor
    • - How their previous experience and skills will help them succeed in the position
    • - How their personality will help them succeed in the position

  • Question: What makes you stand out from the other candidates?
  • Question Overview: This is a question that is meant to gauge the applicant's confidence in his own abilities. The employer wants to know if the applicant is aware of his strengths and how he will be able to use them to his advantage. The answer will also provide insight into the applicant's personality and how he will fit into the workplace environment.

    Sample Answer: I believe my experience as a financial advisor with my previous employer makes me a strong candidate for this position. I have a strong network of clients and a wealth of knowledge about financial planning that I would love to put to use here.

      What the interviewer is looking for:
    • - Confidence in personal strengths
    • - Genuine excitement about the position
    • - Ability to communicate enthusiasm for the job

  • Question: What is your biggest weakness?
  • Question Overview: This is a common interview question that can be difficult to answer. The best way to approach it is to admit a weakness that is not directly relevant to the position or the company. For example, if the job requires working with numbers, a weakness in math would be a good choice.

    Sample Answer: I have always struggled with math. I have been able to work around it in my previous positions by having others handle the calculations for me.

      What the interviewer is looking for:
    • - Acknowledgement of a weakness that is not relevant to the position
    • - Explanation of how the weakness does not affect job performance

  • Question: What would you like to improve in yourself?
  • Question Overview: This question is a good way to gauge the applicant's self-awareness. A financial advisor must be able to recognize his shortcomings and work on them in order to improve his performance. Someone who is not aware of their weaknesses will not be able to improve, and someone who is aware but does not work on them will not improve either.

    Sample Answer: I would like to improve my ability to communicate with clients in person. I have always had a difficult time with that aspect of the job, but I am confident that I can improve with practice.

      What the interviewer is looking for:
    • - Ability to identify a weakness and explain how it can be improved
    • - Evidence of past improvement in a similar area
    • - Evidence of personal growth in general

  • Question: Where do you see yourself in the next 5 years?
  • Question Overview: This question is a way for the employer to get a sense of the applicant's long-term goals. The response will also reveal whether they have a realistic idea of what they want out of their career. Someone who has no idea what they want to do in the future is not likely to be a good fit for the position.

    Sample Answer: I would like to be in a position where I am managing my own team of financial advisors. I have always been interested in leadership and would like to take on that role in the future.

      What the interviewer is looking for:
    • - Ambition and drive to succeed in the field of wealth management
    • - Long-term career goals that are achievable and realistic
    • - Personalized response that reflects a clear vision for the future

  • Question: How do you manage your time?
  • Question Overview: Time management is a vital skill for any employee, but it is especially important for a financial advisor. The advisor must be able to manage his time effectively in order to meet the needs of his clients. An ideal candidate will be able to explain how he prioritizes his time and what he does to make sure he is not wasting any of it.

    Sample Answer: I prioritize my time by focusing on the most important tasks first. I also make sure to leave enough time for breaks and relaxation so that I can maintain my focus on the job.

      What the interviewer is looking for:
    • - Prioritization of time that shows efficiency and effectiveness
    • - Ability to work well under pressure
    • - Experience in time management that has proven successful

  • Question: What are you willing to do in this profession to be successful?
  • Question Overview: This question is similar to the previous one, but it focuses on the applicant's willingness to go the extra mile. A financial advisor is responsible for helping clients reach their financial goals, which requires a great deal of effort and dedication. The employer wants to know whether the applicant is willing to put in the work necessary to be successful.

    Sample Answer: I am willing to do whatever it takes to be successful in this profession. I am willing to put in long hours and travel extensively if necessary. I am also willing to work hard at building relationships with clients and maintaining their trust.

      What the interviewer is looking for:
    • - Commitment to the job and its responsibilities
    • - Willingness to work long hours or on weekends
    • - Willingness to travel for business purposes

  • Question: What is your background in finance or with the military?
  • Question Overview: This question is designed to gauge how well the applicant has prepared for the interview. Someone who has researched the company and the position will have a better understanding of what to expect and how to present themselves. A candidate who has not done their homework will be at a disadvantage in comparison.

    Sample Answer: I have experience in both finance and the military. I have been a financial advisor for my previous employer for several years, and I have served as a member of the armed forces for over five years.

      What the interviewer is looking for:
    • - Experience in finance or the military
    • - Familiarity with the company's history and mission
    • - Personal interest in the company's products or services

  • Question: What is your previous experience and how it relates to this position?
  • Question Overview: This is a question that is asked in order to understand how the candidate's previous experience will help them in the position. The interviewer wants to know if the candidate has the skills and knowledge that are required for the position.

    Sample Answer: I have previous experience working as a financial advisor. I have also worked with clients who have used your products and services. I believe that my previous experience will help me be successful in this position.

      What the interviewer is looking for:
    • - Previous experience in a similar position
    • - Experience with the company's products or services
    • - Experience with the company's competitors
    • - Experience with the company's industry

  • Question: How will you engage with clients on a daily basis?
  • Question Overview: The job of a financial advisor is to build relationships with clients and help them grow their wealth. The applicant's response will provide valuable insight into how they plan to do that.

    Sample Answer: I will engage with clients on a daily basis by listening to their concerns and helping them work toward their financial goals. I will also be available to answer any questions they may have about their accounts.

      What the interviewer is looking for:
    • - Experience in customer service
    • - Personal interest in engaging with clients
    • - Genuine excitement about engaging with clients

  • Question: What is your expected salary?
  • Question Overview: This question is a standard one in the interview process, but it is important to answer it with care. The applicant must be able to demonstrate that he is willing to work for the salary that the employer is willing to pay. If he is not, then he may be unwilling to accept the position even if it is offered.

    Sample Answer: I am looking for a salary of $50,000 to $60,000. I believe that my experience and skills will allow me to perform the job effectively and earn a salary within that range.

      What the interviewer is looking for:
    • - Salary range that is appropriate for the position
    • - Confidence in ability to perform the job and earn a salary within that range

  • Question: How would you explain complex information to someone?
  • Question Overview: Financial planning is a complex process that involves a lot of information. A financial advisor must be able to break down that information into simple terms that can be understood by the client. It is also important that the advisor is able to explain the information in a way that does not make the client feel overwhelmed.

    Sample Answer: I have experience in teaching and tutoring, so I am very comfortable explaining complex information to others. I believe it is important to make sure everyone understands the material, so I take the time to break it down into manageable pieces.

      What the interviewer is looking for:
    • - Experience in teaching or tutoring
    • - Ability to simplify complex concepts
    • - Personal interest in teaching or tutoring

  • Question: What are you looking for in a career?
  • Question Overview: This question is a great way to gauge the applicant's interest in the position. Someone who is looking for a long-term career in finance will have a different outlook than someone who is simply looking to make a quick buck. The employer can use their response to determine whether the applicant is truly interested in the position and whether they will be able to maintain their interest for the duration of their employment.

    Sample Answer: I am looking for a long-term career in finance. I am interested in building a network of clients and establishing myself as an expert in the field.

      What the interviewer is looking for:
    • - Long-term outlook on career
    • - Specifics about what they are looking for in a career
    • - Previous experience in a position that aligns with their desired career

  • Question: How would you handle rejection from potential customers?
  • Question Overview: A financial advisor is responsible for the financial well-being of many people, and it is inevitable that some of them will not be satisfied with the service. The applicant must be able to maintain a professional demeanor and continue to work toward the company's goals even when faced with rejection.

    Sample Answer: I have always been able to maintain a professional demeanor in the face of rejection. I believe that it is important to remain positive and continue working toward the company's goals even when faced with rejection.

      What the interviewer is looking for:
    • - Experience in customer service or sales
    • - Confidence in ability to handle rejection
    • - Ability to remain professional and positive in the face of rejection

  • Question: What do you think of the company culture?
  • Question Overview: The company culture is a vital aspect of any workplace. A candidate who is comfortable with the company culture will be more productive and satisfied with their job. The company culture is also a good indicator of the type of people who are already employed there, which can be a good indicator of the type of people who will be hired in the future.

    Sample Answer: The company culture seems very positive and inviting. I am excited to be a part of it.

      What the interviewer is looking for:
    • - Positive response that reflects interest in the company culture
    • - Experience in a similar corporate environment
    • - Knowledge of the company's history and reputation

  • Question: What does SAHM stand for?
  • Question Overview: This question tests the applicant's knowledge of the financial services industry. The acronym SAHM stands for "self-directed account," which is a type of investment account.

    Sample Answer: Self-directed accounts are a type of investment account that allows investors to make their own decisions about how to invest their money.

      What the interviewer is looking for:
    • - Correct explanation of SAHM
    • - Knowledge of the financial services industry
    • - Ability to research and find the answer on their own

  • Question: Tell me about a time when you faced adversity and how did it shape you?
  • Question Overview: This question is a variation of the "Tell me about a time you faced adversity" question. It is a way for the employer to get a better sense of how the candidate reacts to difficult situations. A financial advisor must be able to remain level-headed and maintain his composure in stressful situations.

    Sample Answer: I faced a difficult situation as a financial advisor with my previous employer. I was forced to handle an upset client who was unsatisfied with his investment returns. I was able to resolve the conflict by shifting his perspective and helping him see his short-term problems through and understand how to work toward his attainable long-term goals.

      What the interviewer is looking for:
    • - Experience with adversity in previous employment
    • - Ability to explain how adversity shaped them positively
    • - Ability to explain how adversity shaped them negatively

  • Question: What are the key factors that make a successful financial advisor?
  • Question Overview: The employer wants to know what the applicant believes are the most important factors in being a successful financial advisor. The response will provide insight into how the applicant views his own strengths and weaknesses, and how he plans to overcome them.

    Sample Answer: I believe that the most important factors in being a successful financial advisor are having an eye for the future and a willingness to help others. I have both of those qualities, and I am excited to put them to use in this position.

      What the interviewer is looking for:
    • - Experience in the financial services industry or as a financial advisor
    • - Personal success with investment strategies or financial planning
    • - Completion of relevant coursework involving finance or economics