ZipRecruiter

Log In

1

Series 65 Ria Jobs in New York (NOW HIRING)

Rho Technologies

Treasury Advisor

New York, NY · On-site

$115K - $150K/yr

The ideal candidate is a licensed investment adviser representative (Series 65) who understands ... Maintain accurate client records and ensure compliance with SEC, RIA, and internal policies. * Stay ...

Professions Inc

Senior Wealth Advisor

Manhattan, NY · Remote

Partner with my client, a Modern, Tech-Forward RIA They partner with experienced, independent ... Appropriate registration to serve as an Investment Adviser Representative (Series 65, Series 7 & 66 ...

TIAA

Advisor Consultant

New York, NY

Develop consultative relationships with financial advisors across the wire, independent and RIA ... SRC Indicator: Series 7; Series 63; Series 65; Series 66 Physical Requirements * Physical ...

TIAA

Advisor Consultant

New York, NY · On-site

Develop consultative relationships with financial advisors across the wire, independent and RIA ... SRC Indicator: Series 7; Series 63; Series 65; Series 66 Physical Requirements * Physical ...

next page

Showing results 1-20

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in New York

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 New York? For Series 65 Ria jobs in New York, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in New York look for? The top searched job categories for Series 65 Ria jobs in New York are:
What cities in New York are hiring for Series 65 Ria jobs? Cities in New York with the most Series 65 Ria job openings:
Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in New York as of August 2026, with employment types broken down into 100% Full Time. Highlights an 82% In-person, 4% Hybrid, and 14% Remote job distribution.

Treasury Advisor

Rho Technologies

New York, NY • On-site

$115K - $150K/yr

Full-time

Medical, PTO

Posted 28 days ago

Job description

About Us
Rho is the modern banking platform built for startups. Open accounts in minutes, issue cards, manage expenses, pay bills, and close the books - all in one connected platform backed by real human support.
About the Role
Rho is seeking a client-focused, entrepreneurial Financial Advisor / Registered Representative to help deliver modern wealth management solutions to founders, executives, business owners, and high-growth companies. This role combines fiduciary financial advice with the speed and innovation of a fintech platform.
The ideal candidate is a licensed investment adviser representative (Series 65) who understands both traditional wealth management and the evolving fintech ecosystem. You are comfortable working in a technology-driven environment, building trusted client relationships, and collaborating across product, operations, and engineering teams to create an exceptional client experience.
What You'll Do
  • Serve as a fiduciary advisor to individuals, founders, executives, and business owners.
  • Conduct comprehensive financial planning, investment, retirement, tax-aware, and cash management discussions.
  • Develop and maintain long-term client relationships through proactive advice and exceptional service.
  • Deliver personalized investment recommendations aligned with clients' goals and risk tolerance.
  • Partner with banking, treasury, lending, and product teams to provide holistic financial solutions.
  • Educate clients on digital wealth management tools and fintech capabilities.
  • Maintain accurate client records and ensure compliance with SEC, RIA, and internal policies.
  • Stay current on financial markets, investment strategies, regulatory developments, and fintech innovation.
  • Identify opportunities to improve client experience through technology and process enhancements.
  • Support business development initiatives through referrals, partnerships, and educational events.

Qualifications
Required
  • Active Series 65 license (or equivalent qualification as an Investment Adviser Representative).
  • 3-7+ years of experience in wealth management, financial planning, or investment advisory.
  • Experience working within a Registered Investment Adviser (RIA).
  • Strong knowledge of investment products, portfolio construction, retirement planning, and financial planning.
  • Excellent relationship management and communication skills.
  • Ability to thrive in a fast-paced, technology-driven environment.
Preferred
  • Experience working at a fintech, digital wealth platform, neobank, or financial technology company.
  • CFP®, CFA®, CPA/PFS, or other advanced financial planning designation.
  • Experience advising founders, startup executives, or small business owners.
  • Familiarity with CRM systems, digital onboarding, portfolio management platforms, and financial planning software.
  • Knowledge of banking, treasury management, and cash management products.

Our people are our most valuable asset. The base salary for this role is $115,000 - $150,000. Base salary may vary depending on relevant experience, skills, and business needs. In addition to base pay, Rho offers equity, healthcare benefits and paid time off.

Apply