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Series 65 Ria Jobs in New York (NOW HIRING)

RIA Recruiting

Paraplanner

Garden City, NY · On-site

$90K - $120K/yr

Series 65 is a plus but not required The Process: Qualified candidates will start the process by having a 15-30-minute zoom interview conducted by our recruiting consultant. If there is ground to ...

RIA Recruiting

Paraplanner

Garden City, NY · On-site

$90K - $120K/yr

Series 65 is a plus but not required The Process: Qualified candidates will start the process by having a 1530-minute zoom interview conducted by our recruiting consultant. If there is ground to move ...

Private Advisor Group

Operations Associate

Morristown, NJ · On-site

$55K - $60K/yr

The ideal candidate is detail-oriented, proactive, and thrives in a fast-paced, service-driven RIA ... Series 7, 63, and/or 65 (or 66) licenses or willingness to obtain Performance Measures: * Timely ...

Simplicity Group Holdings

Be Seen First

Financial Planning Consultant

Summit, NJ · On-site

$65K - $80K/yr

... RIA, IAR, Bank, Broker Dealer, Annuity, Life) (Required) · Must be Tech Savvy: Strong Proficiency in Google Office Suite (Excel, Word, Drive, eMail, etc) · Industry Licenses preferred: Series 65 ...

Weaver

Senior Wealth Advisor

Manhattan, NY · On-site

Weaver Capital Advisors is an RIA and our services include wealth management and wealth planning ... Series 65 required * 10+ years of related wealth management experience * Proven sales success and ...

CAPTRUST

Senior Financial Advisor

New Hyde Park, NY · On-site

$175K - $225K/yr

CAPTRUST, a leading national independent RIA, is seeking an experienced Senior Financial Advisor to ... Series 65 * Experience leading client relationships independently * Deep expertise in holistic ...

CAPTRUST

Senior Financial Planner

New Hyde Park, NY · On-site

$150K - $200K/yr

CAPTRUST, a leading national independent RIA, is seeking an experienced Senior Financial Planner to ... Series 65 * Experience leading client relationships independently * Deep expertise in holistic ...

Captrust

Senior Financial Advisor

New Hyde Park, NY · On-site

$175 - $225/hr

CAPTRUST, a leading national independent RIA, is seeking an experienced Senior Financial Advisor to ... Series 65 * Experience leading client relationships independently * Deep expertise in holistic ...

Aprio

Wealth Advisor

New York, NY

$150K - $250K/yr

CFP designation. * 10+ years' experience working in Financial Planning for an RIA or Wealth Management Firm. * The series 65 license is required for the position; however, unlicensed candidates are ...

Weaver

Senior Wealth Advisor

Manhattan, NY · On-site

Weaver Capital Advisors is an RIA and our services include wealth management and wealth planning ... Series 65 required * 10+ years of related wealth management experience * Proven sales success and ...

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Showing results 21-40

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 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 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 working for registered investment advisory firms or independently. The license allows for client-facing advisory work and requires knowledge of securities regulations and financial planning tools.

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.

Paraplanner

RIA Recruiting

Garden City, NY • On-site

$90K - $120K/yr

Full-time

Medical, Retirement, PTO

Re-posted 3 days ago

Job description

Davidov Wealth Group, a wealth management and estate planning firm in Garden City, NY is seeking a full-time Paraplanner to join our team. We are committed to helping our clients meet their goals, and exceptional client service is a top priority for us. We are seeking a Paraplanner to assist with building and amending financial plans for our clients. If you want to join a Financial Planning Team that is dedicated to their clients & staff and has created a culture of success, this may be a good fit for you! Find out more about us at davidovfinancial.com.

Compensation:

  • Salary range of $90K-$120K, commensurate with relevant experience
  • Performance-based bonus
  • Great Work/Life Balance with a Monday-Friday Schedule
  • Health Insurance Plan with Company Contribution (50% of premium)
  • Simple IRA with 3% employer match
  • Generous PTO Policy & Paid Holidays - 13 PTO days to start
  • A defined growth path with mentorship
  • No business development

Responsibilities include:

  • Build, maintain, and amend financial plans for clients
  • Analyze tax returns and investment statements prior to client review meetings
  • Prepare pre-meeting checklists and briefing materials for advisors
  • Update financial plans as client circumstances change
  • Coordinate with the client service team on data gathering and account info
  • Communicate with clients via phone and email regularly regarding scheduling, paperwork, and follow up tasks
  • Prepare income tax projections and run income tax scenario analyses
  • Assist with rebalancing client portfolios
  • We are a team that is always striving to improve our processes, and we ask our entire team to help identify areas where we can improve. We want your input to help the firm and this position improve over time!

Requirements:

  • 3 years of financial planning / paraplanning experience
  • Comfortable reading and analyzing tax returns and investment statements
  • Experience with financial planning and portfolio tools - experience with eMoney, Redtail, Schwab Advisor Center, CircleBlack, Morningstar, and Holistiplan are a plus but not required
  • Organization skills & attention to detail
  • Ability to work independently while prioritizing projects and managing your time - we do not micromanage
  • Ability to learn and implement new technology and software
  • Ability to communicate well and work in a collaborative environment
  • Ability to follow office processes and policies related to office operations & client privacy
  • FPQP and those pursuing the CFP are encouraged to apply
  • Series 65 is a plus but not required

The Process:

Qualified candidates will start the process by having a 15-30-minute zoom interview conducted by our recruiting consultant. If there is ground to move forward, you will be required to fill out a Career History Form and if you are selected to advance, you will be invited for an interview with the team. Qualified candidates will be asked to take assessments.

We are an Equal Opportunity Employer.

Employment Type: FULL_TIME

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