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Series 65 Ria Jobs in Michigan (NOW HIRING)

Signal Advisors

Trader

Detroit, MI · On-site

... RIA (Registered Investment Advisor) in the wealth management industry, demonstrating a strong track record of success. * Series 65 / 66 or other industry designations are strongly preferred, or ...

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 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.

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.
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Series 65 Ria jobs near you
Financial Associate

Financial Associate

Financial Architects, Inc.

Farmington Hills, MI • On-site

$80K - $100K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 24 days ago

Job description

At Financial Architects, Inc. (FAI) and FAI Advisors, Inc., we are dedicated to our mission of *Helping People Live a Life of Freedom* by *Simplifying the Complexity of Money Decisions.* Our culture is grounded in these core values:

  • Strive for Improvement Every Day
  • Think Beyond Limits
  • Serve Others First

We are looking for an experienced Financial Associate who is eager to grow their planning expertise, contribute to client success, and develop along a professional path toward becoming a future Lead Advisor. Similar industry roles are Financial Assistant.

Position Overview:

The Financial Associate plays a vital role in delivering our Financial Architecture process. Working closely with Lead Advisors and Client Relationship Coordinators, this role helps ensure the successful design, implementation, and ongoing management of client financial plans. Sales and business prospecting are not required.  The focus is on technical planning support and collaborative execution alongside the advisory team.

This is an excellent opportunity for a developing professional who has a strong foundation in financial planning and is motivated to expand their skills, gain direct client exposure, and grow into increased responsibility.

Core Responsibilities:

  • Lead the preparation, updating, and refinement of comprehensive financial plans, ensuring recommendations align with client goals and the firm’s Financial Architecture framework. 
  • Independently prepare planning analyses and scenario modeling across investments, retirement, insurance, tax, and estate planning, identifying planning trade-offs and considerations for advisor review. 
  • Support Lead Advisors in discovery, modeling, and strategy meetings by leading meeting preparation, client data validation, and creation of client-ready deliverables. 
  • Present select portions of financial plans, investment reviews, or tax analyses in client meetings as experience and confidence develop. 
  • Assist with investment-related analysis, including portfolio alignment reviews, rebalancing support, and coordination of cash flow sourcing across accounts. 
  • Collaborate closely with Lead Advisors and Client Relationship Coordinators to deliver seamless client service, maintaining accurate and current records in CRM and planning systems. 
  • Pursue ongoing professional development, including CFP® coursework or advanced licensing, and contribute to continuous improvement of planning processes and client service delivery. 

Knowledge, Skills, and Experience:

  • Bachelor’s degree in finance, business, economics, or equivalent experience.
  • 2–5 years of financial planning or paraplanning experience, ideally in an RIA or fiduciary advisory environment.
  • Working knowledge of portfolio management principles and tax-efficient investing concepts, including asset location, tax-loss harvesting, and coordination across account types.  Ideally licensed with Series 65.
  • Knowledge of financial planning concepts including retirement, cash flow planning, insurance, investments, and tax basics.
  • Ability to prepare clear, client-ready materials related to investment and tax planning, with increasing independence over time. 
  • Demonstrated ability to manage planning responsibilities with minimal oversight, exercising sound judgment while knowing when to escalate or collaborate. 
  • Comfort working within a structured planning process while contributing insights and recommendations that improve plan quality and client outcomes. 
  • Desire to continue developing technical expertise and advisory judgment through mentorship, feedback, and progressively more complex planning cases. 
  • Progress toward the CFP® designation or similar certifications strongly preferred (CFP® candidates encouraged).
  • Proficiency with Microsoft Office tools and planning software (RightCapital, eMoney, Nitrogen, or equivalent).
  • Strong organizational skills, attention to detail, and ability to manage multiple tasks.
  • Effective communicator - Able to explain concepts clearly to clients and team members.

Opportunity for Growth:

  • Gradually increase direct participation in client meetings, including presenting portions of financial plans, investment reviews, and tax analyses as experience and confidence grow. 
  • Develop professional judgment by integrating cash flow, investment, and tax considerations to support long-term client decision-making and relationships. 
  • Earn expanded ownership of planning work over time, including greater responsibility for plan preparation, analysis, and coordination across the advisory team. 
  • Grow into a trusted planning partner for Lead Advisors, contributing proactively to meeting preparation, client discussions, and ongoing plan refinement.