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Series 65 Ria Jobs in Arizona (NOW HIRING)

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 ...

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 ...

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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 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 requiring strong client communication skills and knowledge of securities regulations.

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.
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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 Manager & Servicing Advisor

Farther

Scottsdale, AZ • On-site, Remote

Full-time

Re-posted 5 days ago

Job description

Company Description
Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience.
Farther's founders are leaders and innovators from the private wealth industry who possess a unique blend of traditional wealth management, fintech, and technology production expertise. We're backed by top-tier venture capital firms, fintech investors, and industry leaders.
Joining Farther means joining a collaborative team of entrepreneurs who are passionate about helping their clients and our teammates achieve more. If you're the type who breaks through walls to get things done the right way, we want to build the future of wealth management with you.
The Role
E3 Financial Planning is a high-touch advisory practice founded in 2009, specializing in guiding women through every stage of their financial journey - from entrepreneurs and working mothers to widows navigating new chapters. Operating on the Farther platform, E3 manages over 250+ households across the country. We're adding a Relationship Manager & Servicing Advisor to own a dedicated segment of that book. No business development, no prospecting - just great planning and client relationships. Full-time preferred, though we're open to a flexible or reduced schedule for the right person.
Your Impact
  • Serve as primary point of contact for 100-125 affluent households - service requests, account updates, money movement, and day-to-day questions
  • Deliver comprehensive financial planning across retirement, tax, estate, equity compensation, and goal-based strategies
  • Own the full client meeting cycle - prep, attendance, notes, and all follow-up
  • Build relationships deep enough that clients come to you first
  • Prepare planning analyses, portfolio reviews, and scenario modeling (Roth conversions, distribution strategies) for advisor review
  • Maintain meticulous CRM records and workflows across Farther's platform and planning software
  • Coordinate with Farther's centralized ops and investment teams for trade execution and compliance support
  • Use AI tools and Farther's platform to work efficiently and scale service quality

The Ideal Match
  • CFP® certification with 10+ years of financial planning experience
  • Direct client-facing experience - you've owned relationships, not just supported them
  • Strong planning knowledge across retirement, tax, estate, and equity compensation
  • Proficiency with eMoney and/or RightCapital
  • Active AI tool user - not just open to it, actually doing it
  • Exceptional follow-through - nothing slips
  • Clear communicator who builds genuine client trust
  • Series 65 (or equivalent); clean U4

Bonus Points
  • Background in a paraplanner, service advisor, or associate advisor role at an RIA
  • HNW or UHNW client experience
  • Familiarity with Farther's platform or similar modern wealth tech stacks
  • Additional designations (ChFC, CLU, CDFA)
  • Experience in team-based advisory models

Why Join Us
  • Competitive comp package that rewards impact
  • Work alongside some of the brightest minds in fintech
  • Ground-floor opportunity at a fast-scaling startup
  • Chart your own growth path as we expand
Farther logo

About Farther

Sourced by ZipRecruiter

Farther is a new kind of financial institution: combining expert advisors and cutting-edge technology to deliver a comprehensive, tailored wealth management experience. Farther empowers advisors to deliver exceptional value to their clients -- on their own terms. We're here to help established advisors scale, providing everything they need to succeed from technology to client support and from marketing to mentoring. To deliver on that goal, we've reimagined what a wealth management platform delivers, allowing clients to easily find a financial advisor and communicate how and when they want, to customize, invest, and professionally manage their entire financial lives in one place, and to automatically squeeze more out of every hard-earned dollar to reduce their tax bills. In other words, we help our clients go Farther. Farther's founders are leaders and innovators from the private wealth industry and possess a unique mix of traditional wealth management, fintech, and technology production expertise. We're backed by top tier venture capital firms, fintech investors, and industry leaders. Joining Farther means joining a collaborative team of entrepreneurs and builders who are passionate about helping our clients and our teammates achieve more. If you're the type who breaks through walls to get things done the right way, we want to go farther with you.

Industry

Finance and insurance

Company size

51 - 200 Employees

Headquarters location

New York, NY, US

Year founded

2019

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