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Take the competence test for financial investment brokers

If you wish to broker financial investments on a commercial basis against commission from the issuer, you must prove your expertise in order to obtain the permit. You can do this through the examination in the IHK.

Depending on the product category, the test is divided into three areas:

  • Open-ended financial investments
  • Closed-end financial assets
  • Investments

The exam consists of a written and a practical part. They must be filed one by one. In the written part of the exam, you must prove the necessary legal and technical knowledge, for example with regard to consumer rights and technical terms. In the practical part, you need to conduct a simulated customer consultation.

You do not have to meet any formal requirements to register for the exam, but for successful participation you should prepare intensively in terms of content.

The content of the competence test for financial investment brokers corresponds to the competence test for fee-based financial investment advisors. If you have completed vocational training or a degree in banking and finance, this may be recognised instead of the proficiency test

Process flow

You can only take part in an exam after prior registration.

  • The IHK informs in good time before the examination about the details of the examination procedure, place and time
  • You first take the written exam
  • If you have passed the written exam, the practical exam will take place

After successful examination, you will receive a certificate of your expertise


No special requirements

Which documents are required?

Official photo ID for identification during the examination

What are the fees?

There are costs. The exact amount can be found in the fee schedule of the local IHK.

What deadlines do I have to pay attention to?

  • Please note the registration deadlines of your local Chamber of Industry and Commerce
  • A proven competence is valid for life

Processing duration

You will normally receive the certificate within a few days of passing the exam.

Applications / forms

  • Registration form according to the specifications of the IHK
  • Online procedure: no
  • Written form requirement: no
  • Personal appearance required: yes, for the exam



Technically approved by

Association of German Chambers of Industry and Commerce


List ID 819 (whitelist; Status: 13.09.2018)

The text was automatically translated based on the German content.

Source: Serviceportal Niedersachsen (Linie6PLus)