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 ...
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 ...
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 ...
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 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.
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.
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 working for registered investment advisory firms or independently. The license allows for client-facing advisory work and requires knowledge of securities regulations and financial planning tools.
What are popular job titles related to Series 65 Ria jobs in Iowa?
For Series 65 Ria jobs in Iowa, the most frequently searched job titles are:
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:
- Remote Director Of Business Development
- Executive Regional Director Of Hotel Operations
- Director Of Business Strategy
- Director Board Governance
- Strategic Business Planning Manager
- Director International Business Development
- Director 500K Year
- Business Development Manager Recruitment
- Director Business Services
- Director Of Operations And Business Development
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
7.7
Based on 34 frontline employees who took The Breakroom Quiz
17th of 52 rated marketing agency
Job description
The Role
This Transition Specialist is responsible for establishing a relationship with prospective representatives/advisors and be that go to person for their entire transition. This person would also help train the new representative/advisor on our systems and coordinate with each department for their proper training to create a smooth transition.
Essential Job Functions, other duties assigned
Become the main point of contact for any new reps/advisors to lead them through the on boarding process. Coordinate with business partners to ensure the best customer service to the new registered representative and advisors as well as establishing a training schedule for each of these departments to create a smooth and timely transition.
Assist the new reps and advisors with creating the appropriate form packets to move the book of business to Integrity Wealth. Review newly submitted transitioning account packets for accuracy and completeness and forward appropriately for processing. Assist the transitioning advisor with the change of broker-dealer requests, including maintaining the tracking mechanism and forwarding appropriately for processing.
Create, implement, and maintain a tracking system for all new recruits. Create, implement, and maintain an onboarding process that provides the new representatives/advisors with the white glove service.
Update and maintain all forms with any required changes. Ensure new forms are updated for all locations including the website and workflow systems.
Assist and lead projects to identify and implement improvements for onboarding and transition department.
Knowledge, Skills, and Abilities
Must display Core Values
Ability to prioritize and work in a fast-paced environment
Strong attention to detail
Solid customer service experience
Excellent written and verbal communication skills
Strong knowledge of Microsoft Office
Experience and Education
Experience:
Associate's degree (A. A.) from two-year College and 1 - 3 years related experience and/or training; or two to four years related experience and/or training; or equivalent combination of education and experience.
Must have prior Securities industry experience.
At least 1 year working directly with a broker-dealer, 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 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 Transition Specialist is responsible for establishing a relationship with prospective representatives/advisors and be that go to person for their entire transition. This person would also help train the new representative/advisor on our systems and coordinate with each department for their proper training to create a smooth transition.
Essential Job Functions, other duties assigned
Become the main point of contact for any new reps/advisors to lead them through the on boarding process. Coordinate with business partners to ensure the best customer service to the new registered representative and advisors as well as establishing a training schedule for each of these departments to create a smooth and timely transition.
Assist the new reps and advisors with creating the appropriate form packets to move the book of business to Integrity Wealth. Review newly submitted transitioning account packets for accuracy and completeness and forward appropriately for processing. Assist the transitioning advisor with the change of broker-dealer requests, including maintaining the tracking mechanism and forwarding appropriately for processing.
Create, implement, and maintain a tracking system for all new recruits. Create, implement, and maintain an onboarding process that provides the new representatives/advisors with the white glove service.
Update and maintain all forms with any required changes. Ensure new forms are updated for all locations including the website and workflow systems.
Assist and lead projects to identify and implement improvements for onboarding and transition department.
Knowledge, Skills, and Abilities
Must display Core Values
Ability to prioritize and work in a fast-paced environment
Strong attention to detail
Solid customer service experience
Excellent written and verbal communication skills
Strong knowledge of Microsoft Office
Experience and Education
Experience:
Associate's degree (A. A.) from two-year College and 1 - 3 years related experience and/or training; or two to four years related experience and/or training; or equivalent combination of education and experience.
Must have prior Securities industry experience.
At least 1 year working directly with a broker-dealer, 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 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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