Wealth Advisor
Wichita, KS · On-site
RIA background is required * Series 65 license is required * Bachelor's degree is strongly preferred * CFP designation is preferred * Experience with Moneyguide Pro is preferred Benefits: * Unlimited ...
Wealth Advisor
Wichita, KS · On-site
RIA background is required * Series 65 license is required * Bachelor's degree is strongly preferred * CFP designation is preferred * Experience with Moneyguide Pro is preferred Benefits: * Unlimited ...
Trading Support Specialist
Topeka, KS · On-site
... RIA industry * Excellent written and verbal communication skills * Strong problem-solving skills ... Series 65 license * Understanding of brokerage and advisory products, as well as SEC and FINRA ...
Trading Support Specialist
Topeka, KS · On-site
... RIA industry * Excellent written and verbal communication skills * Strong problem-solving skills ... Series 65 license * Understanding of brokerage and advisory products, as well as SEC and FINRA ...
... RIA industry * Excellent written and verbal communication skills * Strong problem-solving skills ... Series 65 license * Understanding of brokerage and advisory products, as well as SEC and FINRA ...
... RIA industry * Excellent written and verbal communication skills * Strong problem-solving skills ... Series 65 license * Understanding of brokerage and advisory products, as well as SEC and FINRA ...
Wealth Advisor
Overland Park, KS · On-site +1
$150K - $250K/yr
CFP designation, or working towards it. * 5+ years' experience working in Financial Planning for an RIA or Wealth Management Firm. * The series 65 license is required for the position; however ...
Wealth Advisor
Overland Park, KS · On-site +1
$150K - $250K/yr
CFP designation, or working towards it. * 5+ years' experience working in Financial Planning for an RIA or Wealth Management Firm. * The series 65 license is required for the position; however ...
Active RIA (Registered Investment Adviser) or Series 65/66 licensure required, with a clean regulatory record and a track record of ethical, client-first practice. * Proven ability to acquire and ...
Active RIA (Registered Investment Adviser) or Series 65/66 licensure required, with a clean regulatory record and a track record of ethical, client-first practice. * Proven ability to acquire and ...
PGIM Global Wealth - External Wholesaler (Wire Channel - MO, KS, IA, and NE)
Overland Park, KS · On-site
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
PGIM Global Wealth - External Wholesaler (Wire Channel - MO, KS, IA, and NE)
Overland Park, KS · On-site
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
PGIM Global Wealth - External Wholesaler (Wire Channel - MO, KS, IA, and NE)
Overland Park, KS · On-site
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
PGIM Global Wealth - External Wholesaler (Wire Channel - MO, KS, IA, and NE)
Overland Park, KS · On-site
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
PGIM Global Wealth - External Wholesaler (Wire Channel - MO, KS, IA, and NE)
Overland Park, KS · On-site
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
PGIM Global Wealth - External Wholesaler (Wire Channel - MO, KS, IA, and NE)
Overland Park, KS · On-site
... RIA Aggregator firms. * The wholesaler will be able to clearly differentiate our investment ... Series 7 and Series 63 or 65. About PGIM Global Wealth PGIM Global Wealth is a diversified ...
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 Kansas? For Series 65 Ria jobs in Kansas, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Kansas look for? The top searched job categories for Series 65 Ria jobs in Kansas are:
What cities in Kansas are hiring for Series 65 Ria jobs? Cities in Kansas with the most Series 65 Ria job openings:
Job description
Position Title: Wealth Advisor
The Wealth Advisor role presents an exciting opportunity for individuals passionate about financial planning and client development. This position is pivotal in guiding clients through their wealth management journey while building and nurturing a robust client portfolio. Advisors will engage in business development activities, including both cold outreach and client inheritance. The role demands strong technical expertise in investments and tax strategies, along with a commitment to holistic financial planning. Successful candidates will thrive in a collaborative environment, leveraging extensive resources to foster client relationships and drive growth.
Wealth Advisor Responsibilities:
Wealth Advisor Requirements:
Benefits:
If you are a Wealth Advisor looking to take the next step in your career, apply now! #LI-MB1 #LI-SB1
The Wealth Advisor role presents an exciting opportunity for individuals passionate about financial planning and client development. This position is pivotal in guiding clients through their wealth management journey while building and nurturing a robust client portfolio. Advisors will engage in business development activities, including both cold outreach and client inheritance. The role demands strong technical expertise in investments and tax strategies, along with a commitment to holistic financial planning. Successful candidates will thrive in a collaborative environment, leveraging extensive resources to foster client relationships and drive growth.
Wealth Advisor Responsibilities:
- Provide comprehensive financial planning and investment strategies to clients
- Engage in business development through cold outreach and client referrals
- Inherit and manage a portion of an existing client book
- Conduct client meetings and presentations to discuss financial goals
- Collaborate with a Portfolio Manager and support staff for administrative tasks
- Utilize marketing resources to generate leads and cross-sell services
- Maintain a proactive approach to client relationship management
Wealth Advisor Requirements:
- 5-7 years of experience as a financial advisor, with strong wealth planning and technical expertise in investments and tax strategies
- A proven track record in client acquisition and business development
- RIA background is required
- Series 65 license is required
- Bachelor's degree is strongly preferred
- CFP designation is preferred
- Experience with Moneyguide Pro is preferred
Benefits:
- Unlimited PTO, termed as life/balance PTO
- Opportunity to purchase company stock with initial shares awarded upon joining
- Access to HMO and PPO medical options
- Comprehensive benefits information available at the company website
If you are a Wealth Advisor looking to take the next step in your career, apply now! #LI-MB1 #LI-SB1
About Boutique Recruiting
Sourced by ZipRecruiter
We are a team with shared goals; mindfully placing candidates in the workforce to successfully fulfill their career ambitions while encouraging a sense of purpose and value. We have created a new kind of placement firm — one that values connection, personalization, commitment, impact, boldness and achievement. At Boutique Recruiting, our clients, candidates and employees are at the heart of our success.
Industry
Recruiting and staffing services
Company size
51 - 200 Employees
Headquarters location
San Diego, CA, US
Year founded
2014