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Series 65 Ria Jobs in Oregon (NOW HIRING)

Wealth Enhancement Group

Financial Advisor

Clackamas, OR · On-site

$90K - $110K/yr

Series 65 (RIA Only) * Insurance Licenses * 4+ years of experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...

Wealth Enhancement Group

Financial Advisor

Clackamas, OR · On-site

$90K - $110K/yr

Series 65 (RIA Only) * Insurance Licenses * 4+ years of experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...

Mercer Advisors

Wealth Advisor (Portland, OR)

Portland, OR · Hybrid

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Series 65 required, unless any of the above designations qualify for an exemption in the applicable ...

Apply Early

Vestmark, Inc.

VP, Business Development

OR · Remote

Deep understanding of the financial advisory landscape, including broker-dealer and RIA ... Series 65 license preferred Vestmark is an equal opportunity employer. We celebrate diversity and ...

Aprio

Wealth Advisor

Portland, OR · 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 Oregon

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 are popular job titles related to Series 65 Ria jobs in Oregon? For Series 65 Ria jobs in Oregon, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Oregon look for? The top searched job categories for Series 65 Ria jobs in Oregon are:
What cities in Oregon are hiring for Series 65 Ria jobs? Cities in Oregon with the most Series 65 Ria job openings:
Series 65 Ria jobs near you
Financial Advisor

Financial Advisor

Wealth Enhancement Group

Clackamas, OR • On-site

$90K - $110K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 10 days ago

Job description

About Wealth Enhancement
Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80,000 households from our over 140 offices - and growing - nationwide.
Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.
OurClackamas office in Oregon is looking for a Financial Advisor working as part of an advisory team to help clients achieve their financial goals, provide client service that exceeds the client's expectations. Our team members work together to meet company objectives for customer service quality, client retention and sales growth.
This is a Succession opportunity to take over an established client portfolio, as the current advisor lead plans to retire within the next 4-5 years.
In the spirit of pay transparency, we are excited to share that the base salary range for this position is$90,000-$110,000, exclusive of commissions, bonuses and benefits. This position is also eligible for a variable compensation and participation in our equity program.
WEG hires employees and makes decisions about their salary qualifications based on factors such as: the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. We encourage you to apply and provide us with your compensation expectations when you do. We're big on open conversations, so, let's have one.
Primary Job Functions
Manage client relationships and assist senior advisors with management of complex clients to the WEG planning-based standard of identity
  • Facilitate the financial planning process
  • Discover a prospect or client's values, goals and objectives
  • Understand their current financial situation
  • Engage them in the financial planning process
  • Prepare and conduct annual reviews, including both planning and investment topics

Source and close prospective clients
  • Proactively follow up with clients who have not implemented financial plan
  • Close leads provided by various WEG channels (Marketing, CRP, etc.)
  • Create opportunities within your network
  • Drive referrals from existing clients

Manage client relationships and client service as needed
  • Assist the Financial Advisor during client meetings and with follow-up
  • Take meeting notes and promptly enter into the CRM
  • Present financial advice or plan to client with the Financial Advisor
  • Meet with client to obtain additional planning information, or to clarify/confirm information provided
  • Analyze client's current investments and insurance policies
  • Placing trades and account management

Participate in Wealth Enhancement Group trainings, educational events, coaching programs, and proficient in advisor/client facing technology
Adherence to the Wealth Enhancement Group's Corporate Communication Strategy and in good compliance standing
Education/Qualifications
  • Requires a 4-year degree; business, finance, economics preferred
  • Advanced designation required (CFP, CPA, MBA, etc.)
  • Series 7, 66 (BD/RIA)
  • Series 65 (RIA Only)
  • Insurance Licenses
  • 4+ years of experience within the wealth management industry
  • Ability to source and convert prospects to clients and provide high-level planning-oriented service
  • Possess excellent analytical, organizational, and communication skills (both oral & written)
  • Ability to manage multiple projects at once
  • Engagement in WEG, broader community and active participation in financial planning community

#LI-EW1
Comprehensive Benefits Offerings
Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may be eligible to participate in the following benefits & development opportunities:
  • Training and professional development
  • Medical, dental and vision coverage (Available to full-time employees and their families)
  • Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
  • Life and AD&D insurance - employer paid and voluntary options
  • Short-term and long-term disability, workers compensation - employer paid
  • 401k with match and profit sharing
  • Wellness programs and resources
  • Voluntary benefits, including pet insurance
  • 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
  • 12 paid holidays each year (10 pre-determined and 2 floating days)
  • Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
  • Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700
Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.
Click the following link to view Federal and E-Verify posters: Link
OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.
Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status. Your personal information is handled in accordance with applicable data protection laws.

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