ZipRecruiter

Log In

1

Series 65 Ria Jobs in Indiana (NOW HIRING)

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Indiana

Series 65 Ria information

How to make money with series 65?

A Series 65 licensed Registered Investment Advisor (RIA) can earn income by providing financial planning, investment advisory, and portfolio management services to clients. Revenue is typically generated through advisory fees, asset-based fees, or hourly charges, depending on the firm's fee structure. Success also depends on building a client base, maintaining compliance, and demonstrating strong investment knowledge and communication skills.

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.

Do you need series 65 for RIA?

Yes, individuals acting as Registered Investment Advisers (RIA) typically need to pass the Series 65 exam to register with state authorities and provide investment advice legally. The Series 65 license qualifies individuals to act as investment adviser representatives without needing the Series 7 license, though some firms may require additional certifications or licenses depending on their services. Having the Series 65 is a common requirement for RIAs to operate legally and demonstrate competence in investment advisory activities.

How much do series 65 holders make?

Series 65 holders, who are licensed to act as investment adviser representatives, typically earn between $60,000 and $120,000 annually, depending on experience, location, and firm size. Compensation may include base salary, commissions, and bonuses, especially for those working in financial advisory roles or managing client portfolios.

What kind of job can I get with a series 65?

A Series 65 license qualifies individuals to work as investment adviser representatives, providing financial planning, investment advice, and portfolio management services. These professionals often work for registered investment advisory firms, managing client assets and offering financial strategies. The license is essential for roles that involve giving personalized investment advice without being a registered broker-dealer.

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 are popular job titles related to Series 65 Ria jobs in Indiana? For Series 65 Ria jobs in Indiana, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Indiana look for? The top searched job categories for Series 65 Ria jobs in Indiana are:
What cities in Indiana are hiring for Series 65 Ria jobs? Cities in Indiana with the most Series 65 Ria job openings:
Series 65 Ria jobs near you

Operations Principal

Sanctuary Wealth Group LLC

Indianapolis, IN • Hybrid

$100K - $125K/yr

Other

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 9 days ago

Job description

Description

Operations Principal

Reports To: Director of Operations

Location: Indianapolis, IN, San Antonio, TX, Miami, FL, Omaha, NE or Portland, OR

Type: Full-Time, On-Site with Hybrid Schedule

Compensation Package: $100,000-$125,000 Base Salary (*commensurate with experience) + 10% Annual Bonus Eligibility + Competitive Benefits Package + Unlimited PTO 


Join Our Team at Sanctuary Wealth - Sanctuary Wealth is a leading partnered independence platform for elite financial advisors and wealth management firms, designed to empower entrepreneurial teams to build, own, and grow their practices while delivering exceptional client outcomes. As a rapidly growing organization with a national network of partner firms and a fully integrated RIA and broker-dealer platform, Sanctuary provides the infrastructure, technology, and compliance support that allows advisors to focus on what matters most-serving clients and growing their businesses.

Position Summary -  The Operations Principal provides supervisory and compliance oversight to support the firm's risk management framework across both brokerage and advisory business lines. This role is responsible for reviewing and approving new and ongoing business activities in accordance with firm policies, Written Supervisory Procedures (WSPs), and applicable FINRA, SEC, and state regulatory requirements.


This includes the review of managed account and advisory agreements, brokerage account documentation, client profile updates, account maintenance requests, and transactions, as well as oversight of direct business and insurance-related products. The Operations Principal plays a critical role in ensuring all client and advisor activity is processed accurately, appropriately supervised, and aligned with regulatory standards.


In addition to transactional review, this individual serves as a key control function within the firm-identifying potential risks, resolving exceptions, and supporting consistent application of supervisory policies across a high-volume, multi-channel advisory platform.


Responsibilities 

  • Complete a thorough review of new business and service-related required paperwork for both brokerage and managed accounts
  • Provide in depth knowledge of Written Supervisory Procedures as well as FINRA regulatory requirements in providing operational support to the firm
  • Provide "five star" support, training and education as needed to operational support staff as well as related brokerage and advisory representatives
  • Coordinate with advisors and support staff for the resolution of Not in Good Order "NIGO" paperwork as well as requested clearing or custodial support
  • Promote an atmosphere of trust and support while providing solutions and ideas for process and procedure improvements
  • Other operations department duties as assigned

Requirements

Qualifications

  • 3-5 years of experience working in financial operations.
  • Advanced working knowledge of FINRA, SEC and state regulations.
  • Strong understanding of General Securities, Mutual Funds, Insurance Products, and related investments in both clearing and custodial relationships.
  • Excellent oral and written communications skills.
  • Ability to make regulatory and supervisory decisions with little supervision.
  • Comfortable working in a fast paced, high-volume environment with a flexible work schedule.
  • Proactive collaboration and service-based responses with our business partner firms on escalated issues and concerns is critical


Education -

  • Undergraduate degree in Business, Finance or a related discipline or equivalent experience. 


Licenses 

  • Series 7, 66 (or 63 and 65), 24, 4 (or 9 and 10) required; 53, and Life and Health Insurance a plus 


Benefits & Perks: 

We believe in supporting our employees both personally and professionally by offering a comprehensive and competitive benefits package designed to promote well-being, financial security, career growth, and work-life balance.


Health & Wellness

  • Medical, dental, and vision insurance options 
  • Health Savings Account (HSA) programs 
  • Employer-paid life and disability insurance 
  • Wellness initiatives and preventative care support 

Financial Benefits

  • Competitive base compensation and 10% performance-based annual bonus opportunity 
  • 401(k) retirement plan with company match 
  • Employee referral bonus program 

Time Off & Flexibility

  • Unlimited paid time off (PTO) package 
  • Paid company holidays 
  • Paid parental leave 
  • Hybrid work schedule

Professional Development

  • Ongoing learning and development opportunities 
  • Professional certification and continuing education support 
  • Career growth and internal mobility opportunities 
  • Access to mentorship and leadership development programs 

Additional Perks

  • Company-sponsored employee engagement activities 
  • Technology and equipment support for applicable roles 
  • Inclusive and collaborative workplace culture 
  • Volunteer and community engagement opportunities

Apply