Investment Trader
Urbandale, IA · On-site
... and RIA business processes Strong attention to detail Product knowledge in managed accounts ... FINRA Series 7. Series 65/66 required within 6 months. About Integrity Integrity is one of the ...
Investment Trader
Urbandale, IA · On-site
... and RIA business processes Strong attention to detail Product knowledge in managed accounts ... FINRA Series 7. Series 65/66 required within 6 months. About Integrity Integrity is one of the ...
... and RIA business processes Strong attention to detail Product knowledge in managed accounts ... FINRA Series 7. Series 65/66 required within 6 months. About Integrity Integrity is one of the ...
... and RIA business processes Strong attention to detail Product knowledge in managed accounts ... FINRA Series 7. Series 65/66 required within 6 months. About Integrity Integrity is one of the ...
COMPLIANCE ASSOCIATE
$27 - $35/hr
Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding ... Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities ...
COMPLIANCE ASSOCIATE
$27 - $35/hr
Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding ... Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities ...
COMPLIANCE ASSOCIATE
Des Moines, IA · On-site
$27 - $35/hr
Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding ... Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities ...
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COMPLIANCE ASSOCIATE
Des Moines, IA · On-site
$27 - $35/hr
Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding ... Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities ...
New
COMPLIANCE ASSOCIATE
Des Moines, IA · On-site
$27 - $35/hr
Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding ... Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities ...
COMPLIANCE ASSOCIATE
Des Moines, IA · On-site
$27 - $35/hr
Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding ... Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities ...
FINRA licenses (e.g., Series 7, 63/65 or 66) preferred or willingness to obtain within first year ... Our community of over 4,000 producing financial advisors includes diverse business models-RIA ...
FINRA licenses (e.g., Series 7, 63/65 or 66) preferred or willingness to obtain within first year ... Our community of over 4,000 producing financial advisors includes diverse business models-RIA ...
Develop and deliver targeted inperson and email campaigns designed to grow BD/RIA investment ... Licensing * Series 6/7 and 65/66 preferred; required within 6 months of hire. About Integrity ...
Develop and deliver targeted inperson and email campaigns designed to grow BD/RIA investment ... Licensing * Series 6/7 and 65/66 preferred; required within 6 months of hire. About Integrity ...
Develop and deliver targeted in-person and email campaigns designed to grow BD/RIA investment ... Licensing * Series 6/7 and 65/66 preferred; required within 6 months of hire. About Integrity ...
Develop and deliver targeted in-person and email campaigns designed to grow BD/RIA investment ... Licensing * Series 6/7 and 65/66 preferred; required within 6 months of hire. About Integrity ...
Knowledge of back-office systems and custodians within a Broker-Dealer and RIA * Travel up to 15% * Microsoft Access experience * Series 6, 7 and 65/66 preferred. Candidates without must obtain ...
Knowledge of back-office systems and custodians within a Broker-Dealer and RIA * Travel up to 15% * Microsoft Access experience * Series 6, 7 and 65/66 preferred. Candidates without must obtain ...
Trade Review Principal
Urbandale, IA · On-site
... dealer and RIA business processes. Thorough understanding of rules, regulations and legal ... FINRA Series 7, 24, 65/66 required. Series 4 and 53 required within 6 months. Insurance and ...
Trade Review Principal
Urbandale, IA · On-site
... dealer and RIA business processes. Thorough understanding of rules, regulations and legal ... FINRA Series 7, 24, 65/66 required. Series 4 and 53 required within 6 months. Insurance and ...
Knowledge of back-office systems and custodians within a Broker-Dealer and RIA * Travel up to 15% * Microsoft Access experience * Series 6, 7 and 65/66 preferred. Candidates without must obtain ...
Knowledge of back-office systems and custodians within a Broker-Dealer and RIA * Travel up to 15% * Microsoft Access experience * Series 6, 7 and 65/66 preferred. Candidates without must obtain ...
... dealer and RIA business processes. Thorough understanding of rules, regulations and legal ... FINRA Series 7, 24, 65/66 required. Series 4 and 53 required within 6 months. Insurance and ...
... dealer and RIA business processes. Thorough understanding of rules, regulations and legal ... FINRA Series 7, 24, 65/66 required. Series 4 and 53 required within 6 months. Insurance and ...
Minimum of 6 years working directly with a broker-dealer, RIA or insurance industry experience ... Series 7, 24 and 65/66 preferred About Integrity Integrity is one of the nation's leading ...
Minimum of 6 years working directly with a broker-dealer, RIA or insurance industry experience ... Series 7, 24 and 65/66 preferred About Integrity Integrity is one of the nation's leading ...
Rep Relationship Manager
Urbandale, IA · On-site
Minimum of 6 years working directly with a broker-dealer, RIA or insurance industry experience ... Series 7, 24 and 65/66 preferred About Integrity Integrity is one of the nation's leading ...
Rep Relationship Manager
Urbandale, IA · On-site
Minimum of 6 years working directly with a broker-dealer, RIA or insurance industry experience ... Series 7, 24 and 65/66 preferred About Integrity Integrity is one of the nation's leading ...
Transition Specialist
Urbandale, IA · On-site
... RIA or insurance. Prior customer service and marketing experience is beneficial. Education: Associate's degree (A. A.) from a two-year College. Licensing: Series 7, 24 and 65/66 preferred About ...
Transition Specialist
Urbandale, IA · On-site
... RIA or insurance. Prior customer service and marketing experience is beneficial. Education: Associate's degree (A. A.) from a two-year College. Licensing: Series 7, 24 and 65/66 preferred About ...
... RIA or insurance. Prior customer service and marketing experience is beneficial. Education: Associate's degree (A. A.) from a two-year College. Licensing: Series 7, 24 and 65/66 preferred About ...
... RIA or insurance. Prior customer service and marketing experience is beneficial. Education: Associate's degree (A. A.) from a two-year College. Licensing: Series 7, 24 and 65/66 preferred About ...
Sales Supervisor
Urbandale, IA · On-site
... Dealer/RIA space with the requisite licenses. The ideal candidate will poses the following ... Series 7, 24, 63 65 or 66 * Life Insurance License preferred * Operational Experience preferred ...
Sales Supervisor
Urbandale, IA · On-site
... Dealer/RIA space with the requisite licenses. The ideal candidate will poses the following ... Series 7, 24, 63 65 or 66 * Life Insurance License preferred * Operational Experience preferred ...
... Dealer/RIA space with the requisite licenses. The ideal candidate will poses the following ... Series 7, 24, 63 65 or 66 * Life Insurance License preferred * Operational Experience preferred ...
... Dealer/RIA space with the requisite licenses. The ideal candidate will poses the following ... Series 7, 24, 63 65 or 66 * Life Insurance License preferred * Operational Experience preferred ...
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?
| 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.
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 job categories do people searching Series 65 Ria jobs in Iowa look for? The top searched job categories for Series 65 Ria jobs in Iowa are:
What cities in Iowa are hiring for Series 65 Ria jobs? Cities in Iowa with the most Series 65 Ria job openings:
Integrity Marketing Group rating
7.5
Based on 33 frontline employees who took The Breakroom Quiz
19th of 50 rated marketing agency
Job description
The Role
This position will play a crucial role in executing trades, managing Integrity Wealth's proprietary investment lineup and optimizing the investment with various securities. The Advisory Trader requires strong analytical skills and market knowledge, with a solid foundation in financial concepts, risk management and financial software. Executing transactions for Integrity's Wealth Solutions lineup and strategies across a broad spectrum of strategies including, Fixed Income, Equities, ETFs, Mutual Funds, and Options through electronic trading networks and various platforms. The role entails a high level of decision-making authority in overall trading, strategy development and portfolio structuring.
Essential Job Functions
Collaborate with the portfolio management team to assist in model changes and implementation. Research market trends, current investment conditions and governing regulations.
Maintain daily oversight of the Integrity Wealth internal and sub-advised investment portfolio offerings. Duties include reviewing all newly opened and funded accounts through Schwab, Fidelity, and Pershing.
Process all daily account rebalances and portfolio rebalances as needed utilizing firm trading software.
Overseeing and executing buy and sell orders for various securities, including stocks, bonds and derivatives.
Process post-execution recon and handle the operation/administrative duties associated with trades needing attention. Responsibility to facilitate any trade error corrections and identify the proper teams of any follow up items.
Communicate with various team members and stakeholders regarding investment strategies and portfolio performance.
Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.
Other duties as assigned.
Travel up to 10%
Knowledge, Skills, and Abilities
Must display Core Values
Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes
Strong attention to detail
Product knowledge in managed accounts, securities, and trading systems
Strong conceptual skills with an ability to deliver big ideas that drive results
Exceptional written and verbal communication skills
Experience and Education
2-3 years of financial services experience in a trading, operations, or client support role. 1 year experience with trading equities, fixed income and bonds, structured products and various other electronically traded securities.
Four-year college or university degree in Finance, Economics or related field; or equivalent combination of education and experience.
Licensing: FINRA Series 7. Series 65/66 required within 6 months.
About Integrity
Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
This position will play a crucial role in executing trades, managing Integrity Wealth's proprietary investment lineup and optimizing the investment with various securities. The Advisory Trader requires strong analytical skills and market knowledge, with a solid foundation in financial concepts, risk management and financial software. Executing transactions for Integrity's Wealth Solutions lineup and strategies across a broad spectrum of strategies including, Fixed Income, Equities, ETFs, Mutual Funds, and Options through electronic trading networks and various platforms. The role entails a high level of decision-making authority in overall trading, strategy development and portfolio structuring.
Essential Job Functions
Collaborate with the portfolio management team to assist in model changes and implementation. Research market trends, current investment conditions and governing regulations.
Maintain daily oversight of the Integrity Wealth internal and sub-advised investment portfolio offerings. Duties include reviewing all newly opened and funded accounts through Schwab, Fidelity, and Pershing.
Process all daily account rebalances and portfolio rebalances as needed utilizing firm trading software.
Overseeing and executing buy and sell orders for various securities, including stocks, bonds and derivatives.
Process post-execution recon and handle the operation/administrative duties associated with trades needing attention. Responsibility to facilitate any trade error corrections and identify the proper teams of any follow up items.
Communicate with various team members and stakeholders regarding investment strategies and portfolio performance.
Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.
Other duties as assigned.
Travel up to 10%
Knowledge, Skills, and Abilities
Must display Core Values
Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes
Strong attention to detail
Product knowledge in managed accounts, securities, and trading systems
Strong conceptual skills with an ability to deliver big ideas that drive results
Exceptional written and verbal communication skills
Experience and Education
2-3 years of financial services experience in a trading, operations, or client support role. 1 year experience with trading equities, fixed income and bonds, structured products and various other electronically traded securities.
Four-year college or university degree in Finance, Economics or related field; or equivalent combination of education and experience.
Licensing: FINRA Series 7. Series 65/66 required within 6 months.
About Integrity
Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
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