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Series 65 Ria Jobs in Minnesota (NOW HIRING)

CX Institutional LLC

Wealth Manager

Minneapolis, MN · On-site

In 2024, Forbes recognized Credent as one of the top RIA firms in the U.S. For more information ... Series 65 or equivalent * Certified Financial Planner (CFP) is required * Advanced degrees or ...

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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 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 requiring strong client communication skills and knowledge of securities regulations.

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 are popular job titles related to Series 65 Ria jobs in Minnesota?

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

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

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

What cities in Minnesota are hiring for Series 65 Ria jobs?

Cities in Minnesota with the most Series 65 Ria job openings:

Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in Minnesota as of August 2026, with employment types broken down into 100% Full Time. Highlights an 74% In-person, 5% Hybrid, and 21% Remote job distribution.

Regional Director

Frontier Asset Management

Minneapolis, MN • On-site

$100K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 10 days ago

Job description

The primary duties of the Regional Director involve developing new business for Frontier and maintaining and nurturing existing advisor relationships. The Regional Director will have a specific territory, where they will be responsible for the strategic plan and managing and deploying the resources to maximize territorial sales while staying within assigned budget. The Regional Director is expected to be an industry and financial services expert, providing consulting support for our current and potential financial advisors. Acting as a coach and leader, the Regional Director will work with our Regional Sales Consultant and Client Service Team to promote a premier sales and service model for our advisors.
Hours: Full-time position
Salary: Depends on Experience/ Sales Compensation
Benefits:
  • 4 weeks of earned Paid Time Off
  • Paid holidays
  • Health, Dental, Vision, and Life Insurance
  • 401(k) Potential additional 4% Employer Match for a total of 8%

Preferred location: Minneapolis, MN - Kansas City, MO - St Louis, MO - Dallas, TX
Responsibilities
  • Work with RSC to actively develop relationships with existing or potential advisors
  • Attend and present at B/D conferences and events
  • Efficient use of technology including Salesforce, Pardot, Seismic
  • Present strategies in-person and through webcast and other sales tools
  • Update and maintain Salesforce CRM records of meetings
  • Maintain regional budget
  • Travel required 50-75%
  • Commitment to continuing education

Qualifications
  • Bachelors degree
  • REQUIRED: a minimum of 5 years investment wholesale experience
  • Proven industry-established sales record
  • Deep industry relationships, preferably in the IBD and RIA space
  • Strong organizational skills with the ability to manage multiple projects
  • Excellent written, oral and verbal communication
  • Strong computer skills including: SalesForce, Pardot, Microsoft Office, Zoom
  • Strong financial services knowledge
  • Series 65 and or CFP® preferred

Apply