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Series 65 Ria Jobs in Nebraska (NOW HIRING)

Axos Bank

AVP, Financial Consulting

Omaha, NE · On-site

$90K - $98K/yr

... Broker-Dealer and RIA platform. This is a unique opportunity to join a fast-growing asset ... FINRA Series 7 and 66 (or 63/65) required; Series 24 preferred. * Bachelor's degree required ...

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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.
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What job categories do people searching Series 65 Ria jobs in Nebraska look for? The top searched job categories for Series 65 Ria jobs in Nebraska are:
Series 65 Ria jobs near you
AVP, Financial Consulting

AVP, Financial Consulting

Axos Bank

Omaha, NE • On-site

$90K - $98K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 19 days ago

Job description

Axos Invest, Inc.

Target Range:

$90,000.00/Yr. - $98,000.00/Yr.

Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education.

Eligible for an Annual Discretionary Cash Bonus Target: 15%Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 15%

These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.

About This Job

We are seeking a dynamic and hands-on Assistant Vice President to lead and scale the distribution efforts of our integrated Broker-Dealer and RIA platform. This is a unique opportunity to join a fast-growing asset management business with a strong retail client base and ambitious growth targets.
As a key member of our leadership team, you will manage and develop a team of six Financial Consultants (FCs) currently overseeing $135 million in assets, with a strategic goal to triple AUM over the next two years. You will report directly to the Chief Investment Officer, who also serves as Head of the Broker-Dealer and RIA.

Responsibilities:

  • Lead, coach, and develop a team of six Financial Consultants across the country, fostering a high-performance culture and driving accountability.

  • Design and execute national distribution strategies to grow AUM and revenue through the firm's retail banking and advisory channels.

  • Deliver training and development programs focused on investment products, asset allocation, financial planning, and sales effectiveness.

  • Serve as a player-coach, supporting advisors in client meetings and helping craft compelling investment proposals.

  • Collaborate closely with the CIO to align distribution efforts with the firm's investment philosophy, process, and performance.

  • Monitor sales performance, pipeline activity, and advisor productivity; implement KPIs and reporting frameworks.

  • Ensure compliance with FINRA, SEC, and internal policies; maintain supervisory oversight of sales practices and marketing materials.

  • Contribute to strategic initiatives, advisor recruiting, and the scaling of distribution infrastructure as the firm grows.

Qualifications:

  • 7+ years of experience in asset or wealth management distribution, with a track record of leading advisor teams and driving AUM growth.

  • Strong understanding of investment products, portfolio construction, and financial planning principles.

  • Proven ability to coach and develop financial advisors in both technical and sales competencies.

  • FINRA Series 7 and 66 (or 63/65) required; Series 24 preferred.

  • Bachelor's degree required; advanced degree or professional designations (e.g., CFA, CFP) a plus.

Axos Employee Benefits May Include:

  • Medical, Dental, Vision, and Life Insurance

  • Paid Sick Leave, 3 weeks' Vacation, and Holidays (about 11 a year)

  • HSA or FSA account and other voluntary benefits

  • 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan

  • Employee Mortgage Loan Program and free access to an Axos Bank Account with Self-Directed Trading

About Axos

Born digital-first, Axos delivers financial tools and services that allow individuals, small businesses, and companies to access and manage their money how, when, and where they want. We're a diverse team of dynamic, insightful, and independent innovators who are excited to provide technology-driven solutions that offer unbeatable value to our customers.

Axos Financial is our holding company and is publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

Learn more about working at Axos

Pre-Employment Background Check and Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity:

Axos is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state, and local laws.

Job Functions and Work Environment:

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.

The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.

E-Verify and Right to Work Notices

Axos participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States. The E-Verify program is an internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services.

IER Right to Work Poster (English/Spanish)

E-Verify Participation Poster (English/Spanish)

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