Wealth Advisor
Salt Lake City, UT · On-site
Experience in a Registered Investment Advisor (RIA) environment * Possession of Series 65 license * Bachelor's degree is strongly preferred * CFP certification is preferred * Experience with ...
Wealth Advisor
Salt Lake City, UT · On-site
Experience in a Registered Investment Advisor (RIA) environment * Possession of Series 65 license * Bachelor's degree is strongly preferred * CFP certification is preferred * Experience with ...
... RIA"), has been dedicated to its clients for over 50 years. With financial advisors in branches ... Series 7 & 66 securities licenses (or 65/63) * Life/Health preferred * Exceptional client ...
... RIA"), has been dedicated to its clients for over 50 years. With financial advisors in branches ... Series 7 & 66 securities licenses (or 65/63) * Life/Health preferred * Exceptional client ...
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?
| 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.
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 popular job titles related to Series 65 Ria jobs in Utah?
For Series 65 Ria jobs in Utah, the most frequently searched job titles are:
What job categories do people searching Series 65 Ria jobs in Utah look for?
The top searched job categories for Series 65 Ria jobs in Utah are:
What cities in Utah are hiring for Series 65 Ria jobs?
Cities in Utah with the most Series 65 Ria job openings:
Full-time
Medical, PTO
Re-posted 22 days ago
Job description
Position Title: Wealth Advisor
This role is a great opportunity for a motivated individual to start a private wealth advisory practice in Salt Lake City. The selected candidate will build on existing relationships with insurance producers to grow the book of business. Success in this position requires a proactive approach to client acquisition and a strong foundation in wealth planning. The ideal candidate will be prepared to engage in both warm and cold outreach while navigating the complexities of financial planning. This position offers significant potential for growth and development within a supportive team environment.
Wealth Advisor Responsibilities:
Wealth Advisor Requirements:
Benefits:
If you are a Wealth Advisor looking to take the next step in your career, apply now! #LI-KJ1
This role is a great opportunity for a motivated individual to start a private wealth advisory practice in Salt Lake City. The selected candidate will build on existing relationships with insurance producers to grow the book of business. Success in this position requires a proactive approach to client acquisition and a strong foundation in wealth planning. The ideal candidate will be prepared to engage in both warm and cold outreach while navigating the complexities of financial planning. This position offers significant potential for growth and development within a supportive team environment.
Wealth Advisor Responsibilities:
- Build and manage a book of business from scratch
- Conduct client meetings and presentations
- Provide comprehensive financial planning services
- Collaborate with a Portfolio Manager and support team for client solutions
- Engage in marketing efforts and identify cross-selling opportunities
- Utilize administrative support for efficiency in client management
- Prospect for new clients and maintain ongoing relationships
Wealth Advisor Requirements:
- 5-7 years of experience as a financial advisor with a strong foundation in wealth planning
- Proven track record in client acquisition and business development
- Experience in a Registered Investment Advisor (RIA) environment
- Possession of Series 65 license
- Bachelor's degree is strongly preferred
- CFP certification is preferred
- Experience with Moneyguide Pro is preferred
Benefits:
- Unlimited PTO, promoting work-life balance
- Opportunity to acquire company stock with initial shares awarded upon joining
- Medical benefits with HMO and PPO options
- Access to comprehensive benefits information online
If you are a Wealth Advisor looking to take the next step in your career, apply now! #LI-KJ1
About Boutique Recruiting
Sourced by ZipRecruiter
We are a team with shared goals; mindfully placing candidates in the workforce to successfully fulfill their career ambitions while encouraging a sense of purpose and value. We have created a new kind of placement firm — one that values connection, personalization, commitment, impact, boldness and achievement. At Boutique Recruiting, our clients, candidates and employees are at the heart of our success.
Industry
Recruiting and staffing services
Company size
51 - 200 Employees
Headquarters location
San Diego, CA, US
Year founded
2014