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Series 65 Ria Jobs in Texas (NOW HIRING)

Wealth Enhancement Group

Financial Advisor

Houston, TX · On-site

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 ...

Altruist

Compliance Officer

Dallas, TX · Hybrid

You'll own substantive compliance work across the RIA's program - with support - while operating ... Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly ...

Altruist

Compliance Officer

Dallas, TX · On-site

You'll own substantive compliance work across the RIA's program - with support - while operating ... Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly ...

Boutique Recruiting

Wealth Advisor

Dallas, TX · On-site

RIA background is required * Series 65 certification is mandatory * Bachelor's degree is strongly preferred * CFP designation is preferred * Experience with Moneyguide Pro is preferred Benefits:

Boutique Recruiting

Client Service Advisor

Houston, TX · On-site

... RIA or wealth management environment who enjoys delivering exceptional service while managing ... Series 65, Series 7, or Series 66 license preferred * Excellent organizational skills with the ...

New

Boutique Recruiting

Financial Advisor

San Antonio, TX · On-site

Active licenses (Series 65/66 or equivalent) * 3-5 years of experience as a financial advisor within advisory or investment sales for RIA or broker-dealer * Strong knowledge of securities regulations ...

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All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Texas

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.
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Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in Texas as of July 2026, with employment types broken down into 100% Full Time. Highlights an 81% In-person, 4% Hybrid, and 15% Remote job distribution.
Financial Advisor

Financial Advisor

Wealth Enhancement Group

Houston, TX

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 10 days ago

Job description

About Wealth Enhancement Group

Wealth Enhancement Group 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 55,000 households from our over 100 offices - and growing - nationwide.

Since 1997, Wealth Enhancement Group 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.

Our West Houston, TX office 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.

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

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 participate in the following benefits & development opportunities:

  • Training and professional development

  • Medical and dental coverage

  • 401k - with match and profit sharing

  • Health care spending and savings accounts

  • Dependent care spending account

  • Vision coverage

  • Wellness programs and resources

  • Life insurance - employer paid

  • Short-term and long-term disability - employer paid

  • Paid Time Off

  • 10 paid holidays each year

  • Paid parental leave

  • Tuition reimbursement

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.

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