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Series 65 Ria Jobs in Tennessee (NOW HIRING)

Adams Keegan

Financial Advisor

Memphis, TN · On-site

... 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

RIA Recruiting

Client Service Associate

Nashville, TN · On-site

$65K - $80K/yr

  • Retirement

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 Recruiting

Client Service Associate

Nashville, TN · On-site

$65K - $80K/yr

  • Retirement

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 Recruiting

Client Service Associate

Nashville, TN · On-site

$65K - $80K/yr

  • Retirement

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 ...

SageSpring Wealth Partners

Head of Sales

Franklin, TN

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

... RIA, or advisor development environment. * Proven success leading sales, advisor development ... Bachelor's degree, Series 65 or equivalent licensing, CFP required. * Intermediate Microsoft Office ...

Summit Wealth Group

Client Relationship Specialist

Franklin, TN · On-site

$70K - $80K/yr

  • Medical

  • Dental

  • Retirement

  • PTO

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 ...

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Tennessee

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 Tennessee?

For Series 65 Ria jobs in Tennessee, the most frequently searched job titles are:

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Series 65 Ria jobs near you

Financial Advisor

Adams Keegan

Memphis, TN • On-site

Full-time

Re-posted 18 days ago

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.