ZipRecruiter

Log In

1

Series 65 Ria Jobs in Kentucky (NOW HIRING)

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Kentucky

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 Kentucky? For Series 65 Ria jobs in Kentucky, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Kentucky look for? The top searched job categories for Series 65 Ria jobs in Kentucky are:
What cities in Kentucky are hiring for Series 65 Ria jobs? Cities in Kentucky with the most Series 65 Ria job openings:
Series 65 Ria jobs near you
Head of Wealth Management Trading

Head of Wealth Management Trading

Cerity Partners

Louisville, KY • On-site

Full-time

Medical, Dental, Vision, Retirement, PTO

Posted 20 days ago

Job description

The Head of Wealth Management Trading leads Cerity Partners' dedicated central trading program, serving as the primary point of accountability for trade execution quality, operational excellence, and team culture. This leader drives a high-performance, service-first environment - minimizing trade errors, maximizing responsiveness to advisor practices, and continuously improving the workflows and tools that underpin our investment operations. The role is based in Louisville, KY office.
Primary Responsibilities:
As Head of Wealth Management Trading, you will lead the central trading team and:
  • Manage and lead the firm's dedicated central trading program - setting standards for execution quality, team accountability, and a service-first culture
  • Oversee trade execution, rebalancing, and reconciliation across participating wealth management portfolios
  • Partner with the Investment Office and Platform team on model implementation, strategy launches, UMA/SMA transitions, and portfolio construction initiatives
  • Lead development and adoption of AI-powered tools and reconciliation workflows to improve oversight across trading and advisor practice operations
  • Partner with Compliance on best execution policies, broker review, and trade error remediation
  • Manage and evolve the Salesforce trade case system as the primary communication channel between the trading team and advisor practices

Lead Trading:
  • Serve as the primary trading lead and escalation point for complex or time-sensitive executions, ensuring the team operates with speed, precision, and consistency across all custodial platforms
  • Develop and enforce trading protocols, desk procedures, and quality control standards that support a scalable, institutional-grade trading operation

Growing & Expanding Capabilities:
  • Identify and champion opportunities to expand the trading program's scope - including onboarding additional advisor practices, adding asset classes, and broadening custodial relationships
  • Evaluate and implement new trading technologies, OMS/EMS enhancements, and vendor solutions to scale capabilities as the firm grows
  • Collaborate with senior leadership to build a long-term roadmap for the central trading function, aligning trading infrastructure with firm-wide growth objectives

Migrating Accounts in Trading Models:
  • Oversee the migration of client accounts into centralized trading models, coordinating with advisor teams, the Investment Office, and custodians to ensure seamless transitions with minimal disruption
  • Establish and refine workflows for UMA/SMA account onboarding, model enrollment, and legacy account conversion in partnership with the platform and operations teams

Define & Track Metrics
  • Define, track, and report on key trading performance metrics - including trade error rates, execution quality, rebalancing turnaround times, and advisor practice satisfaction
  • Build and maintain operational dashboards that provide leadership with real-time visibility into trading desk performance and trends
  • Use data-driven insights to identify process gaps, benchmark against industry best practices, and drive continuous improvement initiatives

Strategy Responsibilities
  • Partner with the Investment Office to operationalize new investment strategies, ensuring the trading desk can effectively implement and maintain portfolio models at scale
  • Contribute to firm-wide strategic planning for investment operations, including evaluating build vs. buy decisions for trading tools, platforms, and workflows
  • Act as a key stakeholder in the firm's digital transformation efforts, providing trading desk perspective on technology roadmap priorities

Ideal Candidate Profile - "Our Casting Call!"
  • 7+ years of trading or investment operations experience at an RIA, broker-dealer, or wealth management firm; demonstrated team leadership and RIA custodial management required
  • Bachelor's degree required with concentration in Finance, Accounting, or Economics; CFA designation preferred
  • Deep knowledge of equity and fixed income trade execution, OMS/EMS platforms with Eclipse and/or Red Black experience preferred
  • Experience with Salesforce or similar CRM/case management systems in an operational trading context
  • Series 65 required within 90 days of hire; familiarity with UMA/SMA program management and model-based rebalancing a plus
  • Exceptional attention to detail; track record of proactively improving processes to prevent trade errors and operational failures
  • Service-oriented leader with clear, professional communication skills and the ability to build trusted relationships with advisor practices
  • Must be based in or willing to relocate to Louisville, KY.

Physical Requirements:
  • Prolonged periods sitting at a desk and working on a computer
  • Able to lift up to 25lbs

Why Cerity Partners:
Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:
  • Health, dental, and vision insurance - day 1!
  • 401(k) savings and investment plan options with 4% match
  • Flexible PTO policy
  • Parental Leave
  • Financial assistance for advanced education and professional designations
  • Opportunity to give back time to local communities
  • Commuter benefits

Cerity Partners is committed to providing an environment where all individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures, perspectives, and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race, religion, national origin, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law.
Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations, please reach out to careers@ceritypartners.com. Applicants must be authorized to work for any employer in the U.S.

Apply