RIA Financial Advisor
Miami, FL · On-site
$90K - $500K/yr
RIA Financial Advisor Department: Insurance & Financial Services Employment Type: Full Time ... Active Series 65 or equivalent registration * Experience working with HNW/UHNW clientele
RIA Financial Advisor
Miami, FL · On-site
$90K - $500K/yr
RIA Financial Advisor Department: Insurance & Financial Services Employment Type: Full Time ... Active Series 65 or equivalent registration * Experience working with HNW/UHNW clientele
Chief Compliance Officer
Tampa, FL · Hybrid
SIE, Series 6, Series 26, Series 65, Series 24. * Experience in a senior compliance role within a hybrid RIA/Broker-Dealer environment. * Strong leadership, communication, and organizational skills ...
Chief Compliance Officer
Tampa, FL · Hybrid
SIE, Series 6, Series 26, Series 65, Series 24. * Experience in a senior compliance role within a hybrid RIA/Broker-Dealer environment. * Strong leadership, communication, and organizational skills ...
Financial Advisor
Jacksonville, FL · On-site
$79K - $127K/yr
Series 65 (RIA Only) * CFP preferred * Ability to provide high-level planning-oriented service * Possess excellent analytical, organizational, and communication skills (both oral & written) * Ability ...
Financial Advisor
Jacksonville, FL · On-site
$79K - $127K/yr
Series 65 (RIA Only) * CFP preferred * Ability to provide high-level planning-oriented service * Possess excellent analytical, organizational, and communication skills (both oral & written) * Ability ...
Financial Advisor
$79K - $127K/yr
Series 65 (RIA Only) * Insurance Licenses * 4+ years of experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...
Financial Advisor
$79K - $127K/yr
Series 65 (RIA Only) * Insurance Licenses * 4+ years of experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...
Financial Advisor
Miami, FL · On-site
$79K - $127K/yr
Series 65 (RIA Only) * Insurance Licenses * 4+ years of experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...
Financial Advisor
Miami, FL · On-site
$79K - $127K/yr
Series 65 (RIA Only) * Insurance Licenses * 4+ years of experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...
Financial Advisor
Jacksonville, FL · On-site
$79K - $127K/yr
Series 65 (RIA Only) * CFP preferred * Ability to provide high-level planning-oriented service * Possess excellent analytical, organizational, and communication skills (both oral & written) * Ability ...
Financial Advisor
Jacksonville, FL · On-site
$79K - $127K/yr
Series 65 (RIA Only) * CFP preferred * Ability to provide high-level planning-oriented service * Possess excellent analytical, organizational, and communication skills (both oral & written) * Ability ...
Active Series 65 or equivalent registration * Experience working with HNW/UHNW clientele * Comfortable with independent 1099 model * Clean or manageable U4 disclosures (firm is open to candidates ...
Quick apply
Active Series 65 or equivalent registration * Experience working with HNW/UHNW clientele * Comfortable with independent 1099 model * Clean or manageable U4 disclosures (firm is open to candidates ...
... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.
... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.
... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.
... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.
Senior Wealth Advisor
Stuart, FL · On-site
... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.
Senior Wealth Advisor
Stuart, FL · On-site
... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.
Wealth Advisor
Tampa, FL · On-site
Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in ... Must have 5 consecutive years (most recently) as IAR with Series 65 or a Series 7 and Series 66 ...
Quick apply
Wealth Advisor
Tampa, FL · On-site
Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in ... Must have 5 consecutive years (most recently) as IAR with Series 65 or a Series 7 and Series 66 ...
Wealth Advisor
Boca Raton, FL · On-site
Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in ... Must have 5 consecutive years (most recently) as IAR with Series 65 or a Series 7 and Series 66 ...
Quick apply
Wealth Advisor
Boca Raton, FL · On-site
Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in ... Must have 5 consecutive years (most recently) as IAR with Series 65 or a Series 7 and Series 66 ...
Client Service Associate
$13.25 - $18.25/hr
A boutique Registered Investment Advisor (RIA) located in Tampa is seeking a full-time Client ... or Series 65 plus (must be willing to obtain) Proficiency in Microsoft Office Suite, with the ...
Client Service Associate
$13.25 - $18.25/hr
A boutique Registered Investment Advisor (RIA) located in Tampa is seeking a full-time Client ... or Series 65 plus (must be willing to obtain) Proficiency in Microsoft Office Suite, with the ...
Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting ... Series 65 or equivalent registration with clean U4 * Tech-savvy mindset with comfort adopting ...
Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting ... Series 65 or equivalent registration with clean U4 * Tech-savvy mindset with comfort adopting ...
Wealth Advisor, Ultra High Net Worth
Miami, FL · On-site +1
Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting ... Series 65 or equivalent registration with clean U4 * Tech-savvy mindset with comfort adopting ...
Wealth Advisor, Ultra High Net Worth
Miami, FL · On-site +1
Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting ... Series 65 or equivalent registration with clean U4 * Tech-savvy mindset with comfort adopting ...
Investment Advisor
Tampa, FL · On-site
Active series 65 license * CFP ® certified * Client first attitude * Proven ability to work collaboratively with others * Working knowledge of various RIA custodian referral platforms * Excellent ...
Investment Advisor
Tampa, FL · On-site
Active series 65 license * CFP ® certified * Client first attitude * Proven ability to work collaboratively with others * Working knowledge of various RIA custodian referral platforms * Excellent ...
Investment Advisor
Tampa, FL · On-site
Active series 65 license * CFP ® certified * Client first attitude * Proven ability to work collaboratively with others * Working knowledge of various RIA custodian referral platforms * Excellent ...
Quick apply
Investment Advisor
Tampa, FL · On-site
Active series 65 license * CFP ® certified * Client first attitude * Proven ability to work collaboratively with others * Working knowledge of various RIA custodian referral platforms * Excellent ...
Fixed Income Portfolio Manager
Tampa, FL · On-site +1
Background within an asset manager, RIA platform, OCIO environment, bank, or insurance platform ... Series 7 and 66; OR Series 65; OR a qualifying designation to be registered as an IAR * CFA ...
Quick apply
Fixed Income Portfolio Manager
Tampa, FL · On-site +1
Background within an asset manager, RIA platform, OCIO environment, bank, or insurance platform ... Series 7 and 66; OR Series 65; OR a qualifying designation to be registered as an IAR * CFA ...
Client Service Associate
Tampa, FL · On-site
$65K - $85K/yr
Series 65 or the ability to obtain after hire * Adept and skilled with technology, 3rd party software, and the use of Microsoft Office products (Word, Power Point, Excel, Etc.) * Experience with our ...
Quick apply
Client Service Associate
Tampa, FL · On-site
$65K - $85K/yr
Series 65 or the ability to obtain after hire * Adept and skilled with technology, 3rd party software, and the use of Microsoft Office products (Word, Power Point, Excel, Etc.) * Experience with our ...
Series 65 or the ability to obtain after hire * Adept and skilled with technology, 3rd party software, and the use of Microsoft Office products (Word, Power Point, Excel, Etc.) * Experience with our ...
Series 65 or the ability to obtain after hire * Adept and skilled with technology, 3rd party software, and the use of Microsoft Office products (Word, Power Point, Excel, Etc.) * Experience with our ...
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?
| Aspect | Series 65 Ria | Series 66 Ria |
|---|---|---|
| Required Credentials | Series 65 license | Series 66 license (often combined with Series 7) |
| Work Environment | Advisors providing investment advice and financial planning | Advisors offering investment advice and securities transactions |
| Employer & Industry Usage | Registered Investment Advisors (RIAs), independent advisors | Hybrid 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.
What are popular job titles related to Series 65 Ria jobs in Florida? For Series 65 Ria jobs in Florida, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Florida look for? The top searched job categories for Series 65 Ria jobs in Florida are:
What cities in Florida are hiring for Series 65 Ria jobs? Cities in Florida with the most Series 65 Ria job openings:
$90K - $500K/yr
Full-time
Posted 17 days ago
Job description
RIA Financial Advisor
Department: Insurance & Financial Services
Employment Type: Full Time
Location: Florida
Compensation: $90,000 - $500,000 / year
Description
Join a 10-year-old boutique wealth management firm founded by former major wirehouse advisors. The firm specializes in international HNW/UHNW clients and offers a unique multi-custodial platform with relationships across U.S., European, and Latin American custodians.
Built for entrepreneurial advisors, the firm offers full back-office support, high payouts, and complete ownership of client relationships. Advisors operate with true independence, without restrictive employment terms or non-solicits.
Position Overview:We're seeking experienced Financial Advisors who want full autonomy, the ability to serve international HNW clients, and a compensation structure that reflects their value. The ideal candidate has a portable book of at least $5M in AUM, operates with integrity, and thrives in a white-glove service environment.
Key Responsibilities
Skills, Knowledge and Expertise
Must-Have Qualifications:
Nice-to-Have Qualifications:
Benefits
Ideal Candidate Profile:
This is an ideal role for a tenured advisor looking to break free from wirehouse limitations and serve a global client base with elite support. You should be confident working with HNW clients, comfortable operating independently, and excited by a flexible, entrepreneurial model with robust earning potential.
Department: Insurance & Financial Services
Employment Type: Full Time
Location: Florida
Compensation: $90,000 - $500,000 / year
Description
Join a 10-year-old boutique wealth management firm founded by former major wirehouse advisors. The firm specializes in international HNW/UHNW clients and offers a unique multi-custodial platform with relationships across U.S., European, and Latin American custodians.
Built for entrepreneurial advisors, the firm offers full back-office support, high payouts, and complete ownership of client relationships. Advisors operate with true independence, without restrictive employment terms or non-solicits.
Position Overview:We're seeking experienced Financial Advisors who want full autonomy, the ability to serve international HNW clients, and a compensation structure that reflects their value. The ideal candidate has a portable book of at least $5M in AUM, operates with integrity, and thrives in a white-glove service environment.
Key Responsibilities
- Transition and manage existing book of clients
- Build and maintain client relationships, both domestic and international
- Customize multi-custodial investment solutions
- Collaborate with back-office team for trading, support, and compliance
- Conduct client meetings in preferred formats (in-person, remote, international travel, etc.)
Skills, Knowledge and Expertise
Must-Have Qualifications:
- Minimum $5M in portable AUM
- Active Series 65 or equivalent registration
- Experience working with HNW/UHNW clientele
- Comfortable with independent 1099 model
- Clean or manageable U4 disclosures (firm is open to candidates with prior marks, depending on nature)
Nice-to-Have Qualifications:
- Experience serving international clients
- Familiarity with multiple custodians (Schwab, Interactive Brokers, Santander, Swiss banks)
- Multilingual skills (Spanish, Portuguese, French)
- Previous experience at a major wirehouse
Benefits
- Full independence, no non-solicit agreements
- Flexible work location and schedule
- Voluntary group-rate benefits available
- High payout structure (65%+)
- Multinational custodial access
- White-glove support and culture
Ideal Candidate Profile:
This is an ideal role for a tenured advisor looking to break free from wirehouse limitations and serve a global client base with elite support. You should be confident working with HNW clients, comfortable operating independently, and excited by a flexible, entrepreneurial model with robust earning potential.