ZipRecruiter

Log In

1

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 ...

Aprio

Wealth Advisor

Minneapolis, MN · 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 ...

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Minnesota

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 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 July 2026, with employment types broken down into 100% Full Time. Highlights an 75% In-person, 5% Hybrid, and 20% Remote job distribution.

Wealth Manager

CX Institutional LLC

Minneapolis, MN • On-site

Full-time

Posted 14 days ago

Job description

CX Institutional, LLC d/b/a Credent Wealth Management is a $4.0 billion Registered Investment Advisor (RIA) headquartered in Indiana, offering a uniquely human-centric approach to wealth management through commission-free, transparent, and impactful financial planning and investment strategies. Since its inception in 2018, Credent has grown rapidly through a combination of organic growth and 10+ strategic acquisitions focused on providing advisors with a customized, cooperative transition as they build their succession plans. Credent's culture creates lasting, meaningful relationships, enabling advisors to do their best work while ensuring clients can maintain their standard of living without financial worry. In 2024, Forbes recognized Credent as one of the top RIA firms in the U.S. For more information, visit Credent Wealth Management.


Job Title: Wealth Manager

Purpose:

As part of the Wealth Management Client Experience Team, the Wealth Manager is the primary source of relationship development, consultation, and advice to assigned existing clients of the firm. Expertise is expected on matters of financial planning, estate planning, risk and insurance management and tax management. This role is the key point of contact on the client experience team that leads and helps clients identify, prioritize, and ultimately achieve their financial goals. As a fiduciary, Wealth Managers foster and build long-term, trusting relationships with clients while delivering financial advice based on the clients' best interests. The Wealth Manager works alongside a Wealth Advisor, Financial Planner, Client Service Associate, and Client Care Coordinator serving the same clients with $250,000 and above on platform with the firm. The Wealth Manager will build and maintain comprehensive plans for presentation to clients and will also assist with the daily needs of serving the client. The Wealth Advisor leads the investment management portion of the relationship as well as the Raving Fan experience in addition to all business development and new client onboarding. This team, including the Wealth Manager, have regular client interaction, outbound proactive calls, and actively participate in Goal Review & Risk Audit meetings. The primary measurements of a successful Wealth Manager are client retention, completion of goal reviews, and risk audits.

Job Responsibilities:

  • Adherence to the core process, while providing proactive and reactive service within the Credent Experience for client care
  • Regularly meets with assigned clients at least twice per year to foster and build long term, trusting relationships through the Credent Experience process
    • Conduct and present a Risk Audit analysis to clients within the context of their goals and make appropriate recommendations and adjustments as necessary pertaining to insurance, estate, and tax
    • Conduct and present a Goal Review by guiding clients through a process of identifying and prioritizing financial and personal goals inclusive of retirement, college, major purchase, and miscellaneous planning needs. These plans are then stress tested and shared with the client
  • Communicate with and educate clients to ensure an understanding and appreciation of Credent’s fiduciary standards and the benefits of our team and process service structure
  • Participate in and support the Wealth Advisor at various firm sponsored educational and social events with leads and clients
  • Work with team members in a way that is in accordance with the mission, core values, and beliefs of the company to provide client service above and beyond expectations
  • Remain knowledgeable of the policies and regulations of the regulatory bodies to ensure compliance with all work activities as well as comply with company-wide policies and regulatory bodies

Knowledge, Skills, and Abilities:

  • Service oriented skill set
  • Progressive analytical knowledge and interpersonal skills
  • Ability to build trusting interpersonal relationships through empathy and active listening skills
  • Adaptable, accurate, and creative problem-solving skills
  • Proficient in Microsoft Office suite
  • Knowledge of financial planning and investment reporting software

Education:

  • Bachelor’s Degree or equivalent

Experience:

  • 5+ years in Financial Planning, Wealth Management, or related field

Other:

  • Financial services experience
  • Series 65 or equivalent
  • Certified Financial Planner (CFP) is required
  • Advanced degrees or designations such as CPA or JD preferred

Work Environment/Hours/Travel:

  • Monday through Friday; 8:00 am – 5:00 pm plus occasional evenings and weekends
  • In office attendance required
  • Travel is frequently required
  • Meetings and events may require work outside normal office hours and outside of office location

Equipment Used:

  • Standard office equipment
  • Cloud-based storage software
  • Financial Planning software
  • CRM Software
  • Microsoft Office Suite
  • Expense reporting software