Level 4


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Certificate in Securities Advice and Dealing

The Level 4 Certificate in Securities Advice and Dealing satisfies the FCA's qualification requirements for anyone advising or dealing in securities. Candidates will develop in-depth knowledge of investment and securities products, the UK taxation system and considerations for appropriate investment recommendations.

Qualification details

The Certificate in Securities Advice and Dealing is ideal for anyone seeking to advise or deal in securities and anyone working in related support roles looking to develop knowledge of the market.

The Certificate comprises four compulsory units, providing 70 CII credits (at Diploma level) on successful completion. These credits can be used towards further CII qualifications. 

  •  Financial Services, Regulation and Ethics (R01) – 20 CII credits 
  • Investment Principles and Risk (R02)  20 CII credits 
  • Personal Taxation (R03) – 10 CII credits 
  • Security Advice and Dealing (J12) – 20 CII credits 


For units in this qualification, students typically have access to the following materials as part of their enrolment:

  • Study text (printed and/or digital) with digital updates
  • RevisionMate online study support, including end of chapter tests
  • Exam guides containing a practice exam and guidance
  • Assessment entry


Additional or different resources may be available for some units.

Select units to complete this qualification

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Compulsory Units:


Optional Units:

  • Optional units are not available.