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Series 65 Ria Jobs in Colorado (NOW HIRING)

Mercer Advisors

Senior Portfolio Consultant

Denver, CO

$140K - $141K/yr

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... CFP ® and/or Series 65 required * CFA or advanced degree preferred * Minimum 4 years of financial ...

Mercer Advisors

Portfolio Consultant

Denver, CO

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... CFP ® and/or Series 65 required * CFA or advanced degree preferred * Minimum 3 years of financial ...

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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 are the key skills and qualifications needed to thrive as a Series 65 Registered Investment Adviser (RIA), and why are they important?

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.

Can you start an RIA with a series 65?

A Series 65 license qualifies individuals to act as Investment Advisor Representatives (IARs) for Registered Investment Advisers (RIAs), allowing them to provide investment advice and manage client portfolios. However, establishing an RIA also requires registering the firm with the SEC or state authorities and meeting other regulatory requirements. The Series 65 is a key credential for starting and operating an RIA as an IAR.

How much do series 65 holders make?

Series 65 holders, who work as investment adviser representatives, typically earn between $60,000 and $150,000 annually, depending on experience, location, and firm size. Compensation may include base salary, bonuses, and commissions, especially for those managing client portfolios or sales. Successful advisors with strong client bases can earn higher incomes as they gain experience and build their practice.

What are the typical career advancement opportunities for someone starting as 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 can you do with a Series 65 license?

A Series 65 license qualifies individuals to act as investment adviser representatives, providing financial advice and managing client portfolios. It allows them to operate independently or for firms, offering services such as financial planning, investment management, and advisory consulting. The license is essential for those working in the registered investment advisory (RIA) industry and often requires passing the Series 65 exam and maintaining ongoing compliance.

Can financial advisors make $500,000 a year?

Series 65 registered investment advisors (RIAs) can potentially earn $500,000 or more annually, especially with a large client base, high net worth clients, or successful investment strategies. Income varies based on experience, location, firm size, and the fee structure used, such as assets under management or commissions.
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Series 65 Ria jobs near you

Registered Representative - State Farm Agent Team Member

Mike Wuest - State Farm Agent

Colorado Springs, CO • On-site

$150K - $300K/yr

Full-time

Medical, Retirement, PTO

Posted 14 days ago

Job description

Benefits:
  • Simple IRA
  • Bonus based on performance
  • Competitive salary
  • Flexible schedule
  • Health insurance
  • Opportunity for advancement
  • Paid time off
  • Training & development

Position Overview:
Are you tired of fighting for leads and defending high management fees? We are a high-growth RIA and State Farm agency seeking a "Hunter" to lead our Wealth Strategy. We provide the office, the tech (MoneyGuidePro), and a massive "Warm" funnel of existing Home/Auto/Life clients.
Why Join Us?
  • The Edge: Our advisory fees are very competitive, making your "Close" significantly easier. We also partner with Capital Group, Blackrock, Pacific Life and Jackson Life.
  • Warm Distribution: You will be introduced during annual reviews to an existing book of State Farm households.
  • Proprietary Strategy: We utilize a compliant process to provide tax-efficient generational wealth.
  • Scale Your Own Team: Once you hit $10M in AUM, we provide the blueprint for you to hire your own assistant to manage your growth.
Your Role:
  • Prospect and convert existing insurance clients into managed wealth clients.
  • Conduct financial planning using MoneyGuidePro.
  • Maintain a high-velocity pace of $1M in new AUM per month.
  • Manage a streamlined menu of 25 compliant portfolios.
Requirements:
  • Active Series 65 (or Series 7 with 65 in good standing or an active ChFC designation).
  • An active Colorado life insurance license is required within 45 days of hire.
  • Proven track record of $5M+ in annual production.
  • Expertise in Variable Annuities (Jackson experience a plus).
  • A "Sales-First" mindset with a focus on fiduciary duty.