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Series 65 Registered Investment Advisor Ria Jobs

Boutique Recruiting

Wealth Advisor

Salt Lake City, UT · On-site

Experience in a Registered Investment Advisor (RIA) environment * Possession of Series 65 license * Bachelor's degree is strongly preferred * CFP certification is preferred * Experience with ...

Rho Technologies

Treasury Advisor

New York, NY · On-site

$115K - $150K/yr

The ideal candidate is a licensed investment adviser representative (Series 65) who understands ... Experience working within a Registered Investment Adviser (RIA). * Strong knowledge of investment ...

Crafted Staff

0161 - Investment Advisor

Palm Springs, FL · On-site

$150K/yr

We're seeking an experienced Investment Adviser Representative (IAR) to drive business development and lead generation for a boutique Registered Investment Advisor (RIA) in Tampa. This is a client ...

Crafted Staff

0161 - Investment Advisor

Palm Springs, FL · On-site

$130K/yr

We're seeking an experienced Investment Adviser Representative (IAR) to drive business development and lead generation for a boutique Registered Investment Advisor (RIA) in Tampa. This is a client ...

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Series 65 Registered Investment Advisor Ria information

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$11K

$78.7K

$140K

How much do series 65 registered investment advisor ria jobs pay per year?

As of Aug 26, 2026, the average yearly pay for series 65 registered investment advisor ria in the United States is $78,695.00, according to ZipRecruiter salary data. Most workers in this role earn between $59,000.00 and $95,500.00 per year, depending on experience, location, and employer.

What is a Series 65 Registered Investment Advisor (RIA)?

A Series 65 Registered Investment Advisor (RIA) is a professional or firm that has passed the Series 65 exam and is registered to provide investment advice to clients for a fee. The Series 65 exam is administered by the Financial Industry Regulatory Authority (FINRA) and covers topics such as laws, regulations, portfolio management, and ethics. RIAs are required to act as fiduciaries, meaning they must put their clients' best interests first. They often provide personalized financial planning, investment management, and guidance for individuals and institutions. Registration is typically with the Securities and Exchange Commission (SEC) or state securities regulators, depending on the size of assets managed.

What are the key skills and qualifications needed to thrive as a Series 65 Registered Investment Advisor (RIA)?

To thrive as a Series 65 Registered Investment Advisor (RIA), you need a deep understanding of financial markets, portfolio management, and regulatory compliance, typically demonstrated by passing the Series 65 exam and meeting state registration requirements. Familiarity with financial planning software, CRM tools, and investment analysis platforms is essential for managing client portfolios and operations efficiently. Strong interpersonal skills, ethical judgment, and effective communication set top advisors apart by building trust and tailored client relationships. These skills are crucial for delivering compliant, personalized investment advice that supports clients' financial goals and maintains regulatory integrity.

What are some common challenges faced by Series 65 Registered Investment Advisors (RIAs) when managing client relationships?

Series 65 Registered Investment Advisors (RIAs) often encounter challenges such as balancing personalized client service with regulatory compliance, managing diverse client expectations, and staying updated with evolving investment products and market trends. Building trust and maintaining open communication is crucial, especially when markets are volatile or clients have complex financial needs. Additionally, RIAs must regularly document client interactions and ensure all recommendations align with fiduciary standards, which can be time-consuming but is essential for maintaining a successful practice.

What is the difference between Series 65 Registered Investment Advisor Ria vs Series 7 Registered Representative?

AspectSeries 65 Registered Investment Advisor RiaSeries 7 Registered Representative
CredentialsRequires Series 65 license, qualifying for investment advisory rolesRequires Series 7 license, enabling securities trading and brokerage activities
Work EnvironmentProvides investment advice, financial planning, and portfolio managementEngages in buying, selling, and trading securities for clients
Employer & Industry UsageRegistered with SEC or state authorities, primarily in advisory firmsEmployed by brokerage firms or securities dealers

The Series 65 Registered Investment Advisor Ria and Series 7 Registered Representative serve different roles in the financial industry. The RIA focuses on providing investment advice and financial planning, while the Series 7 license allows for securities trading. Understanding these differences helps clients choose the right professional for their financial needs.

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Series 65 Registered Investment Advisor Ria jobs near you
Infographic showing various Series 65 Registered Investment Advisor Ria job openings in the United States as of August 2026, with employment types broken down into 4% As Needed, 61% Full Time, 20% Part Time, and 15% Contract. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution, with an average salary of $78,695 per year, or $37.8 per hour.

Office Manager - Financial Services - Roswell, GA

Advisor Talent Solutions

Roswell, GA • On-site

$83K - $109K/yr

Full-time

Medical, Dental, Retirement, PTO

Re-posted 23 days ago

Job description

Position: Office Manager - Financial Services
Firm: Park Square Financial Group
Location: Roswell, GA
Overview:
Advance your career and truly make a difference! We have an exciting opportunity for an organized self-motivated individual with excellent interpersonal skills seeking to join a well-established Independent Advisor and Financial Services Company.
Park Square Financial Group, located in Roswell, GA, is hiring a full-time Office Manager-Financial Services. The ideal candidate will be client facing, a self-starter, tech savvy, and enthusiastic team player who can oversee and optimize daily office operations. We offer a supportive work environment, competitive compensation, and excellent opportunities for both professional and personal growth—perfect for a self-motivated go-getter!
This role requires previous experience working with a Registered Investment Advisor (RIA) to be considered for employment. Candidates must demonstrate a strong understanding of RIA operations, regulations, and client service standards.
What you’ll do:
  • Maintain weekly scorecard metrics for the firm and update weekly KPI’s
  • Coordinate internal communications, calendars, and daily support to Advisors
  • Own and update L10 meeting preparation, follow-up, and issue tracking
  • Serve as the primary POC for scheduling, client meeting prep, and client service workflow
  • Prepare client reports, packets, confirm appointments and set up for meetings
  • Process client service requests including beneficiary changes, address updates, and forms
  • Assist with onboarding new team members
  • Preparing training guides and updating SOP’s
  • Manage incoming/outgoing mail, supplies and scheduling
  • Assist with filing compliance documentation
  • Support and troubleshoot CRM and other platforms
What We’re Looking For:
  • 3+ years’ experience in Office or Operations Management
  • Experience working with a Registered Investment Advisor (RIA) firm is required
  • Proficient MS Office software
  • Previous CRM experience (Orion, Wealthbox or equivalent)
  • Experience with Schwab and Fidelity custodial platforms
  • Professional and warm client presence
  • Ability to work with minimal supervision
Bonus Points:
  • Bachelor’s degree preferred or equivalent work experience
  • Series 65 license preferred or willing to obtain
What You’ll Get:
Pay amp; Perks:
  • Competitive salary
  • Health
  • Dental
  • 401k
  • PTO
Schedule:
  • Onsite: Monday – Friday, 9am – 5pm
  • Occasional evening client events
Presented by Advisor Talent Solutions
Advisor Talent Solutions, part of the AE Management, LLC family of companies, supports independent advisor businesses with their hiring needs. We are not the employer for this position. If you are selected, your employer will be the hiring business. Our team is your main point of contact initially and will guide you through the application process.
Learn more about our approach and services at advisortalentsolutions.com

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