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Series 65 Ria Jobs in Michigan (NOW HIRING)

RIA Recruiting

Client Service Associate

Portage, MI · On-site

$65K - $80K/yr

Series 65 or the ability to obtain * Organization skills & attention to detail * Ability to anticipate client and advisor needs * Ability to work independently while prioritizing projects and ...

RIA Recruiting

Client Service Associate

Portage, MI

$65K - $80K/yr

Series 65 or the ability to obtain * Organization skills & attention to detail * Ability to anticipate client and advisor needs * Ability to work independently while prioritizing projects and ...

RIA Recruiting

Client Service Associate

Portage, MI · On-site

$65K - $80K/yr

Series 65 or the ability to obtain * Organization skills & attention to detail * Ability to anticipate client and advisor needs * Ability to work independently while prioritizing projects and ...

Invesco

Market Leader RIA

Detroit, MI · Hybrid

$90K - $100K/yr

Series 7 and 63 required; may need to obtain 65 and/or 66 in future * CFA, CIMA, CAIA, CFP and other designations a plus * Self-driven and motivated with a team mentality * Consultative, client first ...

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Michigan

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?

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.

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 Michigan?

For Series 65 Ria jobs in Michigan, the most frequently searched job titles are:

What job categories do people searching Series 65 Ria jobs in Michigan look for?

The top searched job categories for Series 65 Ria jobs in Michigan are:

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Series 65 Ria jobs near you

Client Service Associate

Portage, MI • On-site

RIA Recruiting
See more jobs at RIA Recruitingexternal

$65K - $80K/yr

Other

Medical, Retirement, PTO

Posted 7 days ago

Job description

626 Financial is a growing wealth management firm located in Portage, MI. We are seeking a Client Service Associate to join our team and assist in providing excellent service to our clients. If you want to join a team that is dedicated to their clients & staff and has created a culture of success, this may be a good fit for you! Find out more about us at 626financial.com.

Compensation:

  • Salary range of $65K-80K , commensurate with relevant experience
  • Great Work/Life Balance with a Monday-Friday Schedule
  • Medical insurance
  • 401(k) with employer match
  • Profit Sharing Plan after first year of employment
  • Pension Plan after first year of employment
  • Generous PTO Policy & Paid Holidays
  • Professional, Fun, Motivating Atmosphere

Responsibilities include:

  • Respond to client requests with timeliness and accuracy in mind
  • Assist Advisors with client meeting prep and follow-up tasks
  • Process account opening applications, transfer paperwork, money movements and/or other various industry specific administrative tasks
  • Become primary point person for our custodian - LPL
  • Maintain and update client data in Redtail
  • We are a team that is always striving to improve our processes and we ask our entire team to help identify areas where we can improve. We want your input to help improve this position to make better and better over time!

Requirements:

  • 3 years of financial services experience
  • Ability to prioritize tasks, problem-solve, and meet deadlines
  • Series 65 or the ability to obtain
  • Organization skills & attention to detail
  • Ability to anticipate client and advisor needs
  • Ability to work independently while prioritizing projects and managing your time – we do not micromanage
  • Ability to learn and implement new technology and software
  • Ability to communicate well and work in a collaborative environment
  • Ability to follow office processes and policies related to office operations & client privacy
  • Series 65 is not required but would be a plus

The Process:

Qualified candidates will start the process by having a 15-30 minute zoom interview conducted by our recruiting consultant. If there is ground to move forward, you will be required to fill out a Career History Form and if you are selected to advance, you will meet with the leadership team. Qualified candidates will be asked to take assessments.

We are an Equal Opportunity Employer.

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