... based RIA with over $2.7 billion in assets under management is seeking an experienced Financial ... Active Series 65 or 66 license * Strong interpersonal and relationship-management skills
Quick apply
... based RIA with over $2.7 billion in assets under management is seeking an experienced Financial ... Active Series 65 or 66 license * Strong interpersonal and relationship-management skills
SENIOR COMPLIANCE MANAGER
Nashville, TN · On-site
$150K - $175K/yr
Implementing and updating the Compliance Policies & Procedures Manual to reflect RIA/SEC ... Preferred Experience * Professional certifications and licenses (IACCP, Series 65) a plus.
Quick apply
SENIOR COMPLIANCE MANAGER
Nashville, TN · On-site
$150K - $175K/yr
Implementing and updating the Compliance Policies & Procedures Manual to reflect RIA/SEC ... Preferred Experience * Professional certifications and licenses (IACCP, Series 65) a plus.
SENIOR COMPLIANCE MANAGER
Nashville, TN · On-site
$150K - $175K/yr
Implementing and updating the Compliance Policies & Procedures Manual to reflect RIA/SEC ... Preferred Experience * Professional certifications and licenses (IACCP, Series 65) a plus.
Quick apply
SENIOR COMPLIANCE MANAGER
Nashville, TN · On-site
$150K - $175K/yr
Implementing and updating the Compliance Policies & Procedures Manual to reflect RIA/SEC ... Preferred Experience * Professional certifications and licenses (IACCP, Series 65) a plus.
Client Service Associate
$65K - $80K/yr
Series 65 or the ability to obtain in the first 6 months * Ability to prioritize tasks, problem-solve, and meet deadlines * Organization skills & attention to detail * Ability to work independently ...
Client Service Associate
$65K - $80K/yr
Series 65 or the ability to obtain in the first 6 months * Ability to prioritize tasks, problem-solve, and meet deadlines * Organization skills & attention to detail * Ability to work independently ...
Client Service Associate
Nashville, TN · On-site
$65K - $80K/yr
Series 65 or the ability to obtain in the first 6 months * Ability to prioritize tasks, problem-solve, and meet deadlines * Organization skills & attention to detail * Ability to work independently ...
Quick apply
Client Service Associate
Nashville, TN · On-site
$65K - $80K/yr
Series 65 or the ability to obtain in the first 6 months * Ability to prioritize tasks, problem-solve, and meet deadlines * Organization skills & attention to detail * Ability to work independently ...
... RIA, or advisor development environment. * Proven success leading sales, advisor development ... Bachelor's degree, Series 65 or equivalent licensing, CFP required. * Intermediate Microsoft Office ...
... RIA, or advisor development environment. * Proven success leading sales, advisor development ... Bachelor's degree, Series 65 or equivalent licensing, CFP required. * Intermediate Microsoft Office ...
Head of Sales
Franklin, TN · On-site
$125 - $175/hr
... RIA, or advisor development environment. * Proven success leading sales, advisor development ... Bachelor's degree, Series 65 or equivalent licensing, CFP required. * Intermediate Microsoft Office ...
Head of Sales
Franklin, TN · On-site
$125 - $175/hr
... RIA, or advisor development environment. * Proven success leading sales, advisor development ... Bachelor's degree, Series 65 or equivalent licensing, CFP required. * Intermediate Microsoft Office ...
Client Relationship Specialist
$70K - $80K/yr
What You'll Bring * 3+ years of experience in financial services, ideally in wealth management or the independent RIA space * Series 65 license preferred, or willingness to obtain * Bachelor's degree ...
New
Client Relationship Specialist
$70K - $80K/yr
What You'll Bring * 3+ years of experience in financial services, ideally in wealth management or the independent RIA space * Series 65 license preferred, or willingness to obtain * Bachelor's degree ...
New
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?
| Aspect | Series 65 Ria | Series 66 Ria |
|---|---|---|
| Required Credentials | Series 65 license | Series 66 license (often combined with Series 7) |
| Work Environment | Advisors providing investment advice and financial planning | Advisors offering investment advice and securities transactions |
| Employer & Industry Usage | Registered Investment Advisors (RIAs), independent advisors | Hybrid 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 Tennessee? For Series 65 Ria jobs in Tennessee, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Tennessee look for? The top searched job categories for Series 65 Ria jobs in Tennessee are:
What cities in Tennessee are hiring for Series 65 Ria jobs? Cities in Tennessee with the most Series 65 Ria job openings:
Job description
Financial Advisor – Memphis, TN (or within a 2-hour radius)
A nationally recognized, Memphis-based RIA with over $2.7 billion in assets under management is seeking an experienced Financial Advisor to join its growing team. This is a rare opportunity to become part of one of the most respected firms in the region — known for its strong reputation, deep resources, powerful network, and unmatched advisor support model.
The firm is a destination for top-tier, relationship-driven advisors who are seeking long-term alignment and cultural fit. Only A+ advisors will be considered.
Responsibilities:
- Serve as the primary point of contact for a personal book of business
- Build and maintain strong, trust-based relationships with clients and prospects
- Focus exclusively on client service and business development — all planning, investment management, operations, billing, and compliance are handled by internal staff
- Engage in a collaborative environment where team members regularly share ideas and support one another
Support Provided:
- Dedicated office space and substantial operational and administrative support
- Full-service internal teams responsible for planning, portfolio analysis, monitoring, compliance, and billing
- All client gifts, entertainment, continuing education, and professional designations are paid for by the firm
- Advisors are not expected to manage back-office functions — infrastructure is fully in place
- Preference for in-office collaboration, with flexibility available for experienced advisors and personal needs
Qualifications:
- Existing book of business
- Active Series 65 or 66 license
- Strong interpersonal and relationship-management skills
- Retirement plan experience is a plus, but not required
- Cultural alignment with a high-integrity, team-first firm is essential
Compensation:
- Extremely competitive payout structure
- Above-industry payouts with flexibility for creative deal structures
This opportunity is ideal for an experienced advisor seeking a highly professional environment with best-in-class support, where the focus is entirely on client service and long-term success.
About Adams Keegan
Sourced by ZipRecruiter
Industry
Human resources consulting services
Company size
51 - 200 Employees
Headquarters location
Memphis, TN, US
Year founded
1987