The RQF level 4 Certificate in Securities Advice and Dealing satisfies the FCA appropriate qualification requirement for those advising or dealing in securities, developing in-depth knowledge of investment and securities products, the UK taxation system and considerations for appropriate investment recommendations.
Read the Certificate in Securities Advice and Dealing specification »
Who’s it for?
- Anyone seeking to advise or deal in securities
- Anyone working in a related support role looking to develop knowledge of the market.
Recognition of prior learning
Before studying, check to see whether any of your previous academic qualifications or credits from other professional bodies and institutes can be carried towards completion of the Certificate.
Find out more about recognition of prior learning >
The Certificate involves completion of 4 units from the Personal Finance qualifications framework, providing a total of 70 credits on completion.
See our key information link to the right of this page for details
Members are entitled to use the designation CertPFS (securities), subject to membership and Continuing Professional Development (CPD) requirements.
Certificate level units are assessed by multiple-choice question exam (MCQ). For online MCQ exams, result notification is immediate on completion. For paper-based MCQ exams, results are released five weeks’ following the exam sitting.
Find out more about assessments, including policies and exam centres >
Each qualification unit comes with the essential tools to support core learning. For a single fee, study packages typically include: study text, assessment entry and access to RevisionMate, our online study tool.
We also offer additional study materials to support individual learning. These range from key fact booklets and next-edition study texts, to question packs and Learn interactive tutorials.
For full unit availability, click the unit links to the right of this page