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Series 65 Ria Jobs in Arizona (NOW HIRING)

Fern Financial Group

Wealth Management Associate

Tempe, AZ · On-site

$60K - $70K/yr

... at an RIA, bank, or brokerage * Genuine interest in financial planning -- CFP ® coursework or ... Series 65 licensing and professional certifications for career advancement * Clear path to advance ...

New

Crewe Advisors

Wealth Analyst

Scottsdale, AZ · On-site

... RIA firm or similar financial services setting, or strong relevant internship experience * Series 65 license (or equivalent), or willingness to obtain upon employment * Experience with planning ...

Crewe Advisors

Wealth Analyst

Scottsdale, AZ · On-site

... RIA firm or similar financial services setting, or strong relevant internship experience * Series 65 license (or equivalent), or willingness to obtain upon employment * Experience with planning ...

Osaic

Compliance Analyst - IA Oversight

Scottsdale, AZ · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures ... FINRA Series 7, 24 66 or 63/65) a plus. * Prior experience with the Investment Advisers Act of 1940 ...

Osaic

Compliance Analyst - IA Oversight

Scottsdale, AZ · On-site

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures ... FINRA Series 7, 24 66 or 63/65) a plus. * Prior experience with the Investment Advisers Act of 1940 ...

Osaic

Compliance Analyst - IA Oversight

Scottsdale, AZ · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures ... FINRA Series 7, 24 66 or 63/65) a plus. * Prior experience with the Investment Advisers Act of 1940 ...

Stratos

Associate Wealth Advisor

Scottsdale, AZ · On-site

$55 - $75/hr

... RIA, wire house or insurance broker-dealer preferred OR a recent college graduate with a degree in financial planning. * Bachelor's Degree in a related field of study. * FINRA Series 7 & 65 OR ...

New

LPL Financial

Transition Support Partner

Tempe, AZ · Remote

$30.70 - $51.15/hr

Expertise in various lines of the business - wirehouse, regional, independent, RIA, institutions ... Series 7 and 63, 65 or 66 preferred Pay Range: $30.70-$51.15/hour Actual base salary varies based ...

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Arizona

Series 65 Ria information

What is a Series 65 RIA?

A Series 65 RIA refers to an individual who has passed the Series 65 exam and is registered as an Investment Adviser Representative (RIA). The Series 65 exam, also known as the Uniform Investment Adviser Law Examination, qualifies individuals to provide investment advice and manage client portfolios for a fee. Passing the exam and registering as an RIA is required by most states for professionals who wish to offer investment advisory services. This designation ensures that the individual has demonstrated knowledge of ethical practices, securities regulations, and portfolio management.

What skills and qualifications are needed to thrive as a Series 65 RIA?

To thrive as a Series 65 Registered Investment Adviser, you need a solid understanding of investment principles, portfolio management, and financial regulations, typically demonstrated by passing the Series 65 exam and meeting state registration requirements. Familiarity with financial planning software, CRM tools, and compliance management systems is also important. Strong interpersonal communication, ethical judgment, and client-focused problem-solving set top advisers apart. These skills ensure advisers deliver compliant, personalized financial strategies that build trust and long-term client relationships.

What are the typical career advancement opportunities for a Series 65 RIA?

Starting as a Series 65 Registered Investment Adviser (RIA) opens several paths for career growth. Many professionals begin as client-facing advisors or analysts and can progress to senior advisor, portfolio manager, or even partner roles within their firm. With experience, RIAs may also choose to specialize in areas such as retirement planning, wealth management, or compliance. Additionally, some RIAs eventually establish their own advisory practices, leveraging their client base and industry knowledge. Ongoing professional development, networking, and maintaining a strong compliance record are key to advancing in this field.

What is the difference between Series 65 Ria vs Series 66 Ria?

AspectSeries 65 RiaSeries 66 Ria
Required CredentialsSeries 65 licenseSeries 66 license (often combined with Series 7)
Work EnvironmentAdvisors providing investment advice and financial planningAdvisors offering investment advice and securities transactions
Employer & Industry UsageRegistered Investment Advisors (RIAs), independent advisorsHybrid firms, broker-dealer affiliated RIAs

The Series 65 Ria license qualifies individuals to act as investment advisor representatives, providing financial advice. The Series 66 Ria license combines the Series 63 and 65, allowing advisors to also engage in securities transactions. While both licenses enable financial advising, the Series 66 is often preferred for those involved in both advising and brokerage activities. Understanding these differences helps advisors choose the right licensing path for their career and client service needs.

What kind of job can I get with a Series 65 Ria?

A Series 65 license qualifies individuals to work as investment adviser representatives, providing financial planning, investment advice, and portfolio management services. Common roles include financial advisor, investment consultant, and registered investment adviser representative, often working for registered investment advisory firms or independently. The license allows for client-facing advisory work and requires knowledge of securities regulations and financial planning tools.

What are popular job titles related to Series 65 Ria jobs in Arizona?

For Series 65 Ria jobs in Arizona, the most frequently searched job titles are:

What job categories do people searching Series 65 Ria jobs in Arizona look for?

The top searched job categories for Series 65 Ria jobs in Arizona are:

What cities in Arizona are hiring for Series 65 Ria jobs?

Cities in Arizona with the most Series 65 Ria job openings:

Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in Arizona as of August 2026, with employment types broken down into 100% Full Time. Highlights an 82% In-person, 4% Hybrid, and 14% Remote job distribution.

Relationship Advisor, BridgePort

EPC Eneric Petroleum Corp.

Phoenix, AZ • On-site

$70 - $100/hr

Other

Medical, Dental, Vision, Life, PTO

Posted yesterday

New

Job description

Job Summary

BridgePort is seeking a detail-oriented Relationship Advisor to support existing client relationships and partner closely with senior advisors. This role balances client interaction, planning support, operational oversight, and analytical work to help deliver high‑quality financial planning and investment solutions.

Key Deliverables and Responsibilities
  • Support client relationships by answering investment‑related questions and service needs.
  • Prepare reports, financial plans, and meeting materials for clients and advisors.
  • Join client meetings, take notes, summarize next steps, and help with follow‑up.
  • Keep client work moving by tracking tasks, deadlines, and outstanding items.
  • Review client presentations and materials before they are shared.
  • Review trading activity and account transactions when needed.
  • Help review quarterly billing and performance reporting.
  • Research client service issues, help resolve them, and keep advisors updated.
What We Are Looking For
  • 4+ years of financial services, client relationship management, or advisory support experience.
  • FINRA Series 65 license or a combination of Series 66 and Series 7 licenses.
  • Strong attention to detail, organization, follow‑through, and ability to manage multiple priorities.
  • Excellent communication, interpersonal, analytical, and problem‑solving skills.
  • Experience preparing financial plans, client reports, presentation materials, and supporting senior advisors in client meetings.
Salary Range

$70,000 – $100,000 plus incentive compensation. The salary range provided is a good faith estimate based on the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.

Benefits
  • Paid time off, paid holidays and floating holidays.
  • Medical, dental, and vision coverage.
  • Short‑term and long‑term disability insurance.
  • Company‑paid life insurance.
  • Volunteer time off, wellness incentives, and additional benefits that support employees both personally and professionally.
Company Overview

At BridgePort, our purpose is to bridge the gap between today’s needs and tomorrow’s goals by helping financial advisors and clients move forward with clarity and care. As a growing fee‑only registered investment adviser (RIA), we empower advisors to grow, protect, and leave a legacy on their terms through flexible partnership models, integrated technology, and personalized support. We believe success is built through strong partnerships, thoughtful collaboration, and a shared commitment to exceptional service.

Work Environment

This role offers a hybrid schedule, requiring three days weekly in the office. Applicants should be located near one of our hubs and must be willing to work this schedule.

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