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Series 65 Ria Jobs in Virginia (NOW HIRING)

Apple Federal Credit Union

Financial Advisor

Fairfax, VA · On-site

$80K - $100K/yr

LPL Financial is a broker/dealer and RIA with a stable track record of service the investment needs ... FINRA Series 7, 63/65 (or 66) licenses along with Life, Accident & Health licenses required.

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Virginia

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
Director, Business Development & Investor Relations

Director, Business Development & Investor Relations

Boutique Recruiting

Mclean, VA • On-site, Remote

$150K - $210K/yr

Full-time

Medical, Retirement, PTO

Posted 21 days ago

Job description

Position Title: Director Investor Relations and Fundraising
This is a rare opportunity to join a growing alternative investment platform at a pivotal stage of expansion. The Director of Capital Markets & Investor Relations will lead fundraising, investor relations, marketing oversight, and team development while helping scale assets under management from approximately $60 million toward $300 million and beyond. This role is ideal for a proven capital raiser who wants to build strategy, lead execution, and have a meaningful impact on the future growth of an organization.
As a player-coach, you'll personally drive fundraising efforts while leading a growing investor relations team. You'll work directly with executive leadership, shape go-to-market strategy, oversee investor communications, and develop scalable processes that support long-term growth. The position offers significant visibility, leadership responsibility, and the opportunity to help build something exceptional.
Salary Range: $150,000 - $210,000+ Bonuses
Responsibilities:
  • Lead capital raising initiatives across RIA/wealth advisor and direct high-net-worth retail channels
  • Develop and execute the firm's capital markets and distribution strategy
  • Build and maintain senior-level relationships with RIAs and independent advisors
  • Manage the full fundraising lifecycle from outreach to closing
  • Conduct in-person and virtual investor meetings and presentations
  • Represent the firm at industry conferences and networking events
  • Maintain and grow a structured fundraising pipeline with clear tracking
  • Oversee the investor relations and marketing team to ensure high-quality engagement
  • Set strategy for ongoing investor communications and manage investor satisfaction
  • Collaborate with compliance and legal teams to ensure adherence to regulatory standards
  • Direct the creation of investor-facing materials and oversee digital marketing efforts
  • Work closely with senior leadership to align capital formation with strategic objectives
  • Manage and develop the existing investor relations team

Requirements:
  • 7+ years of experience in capital formation, investor relations, or distribution within alternative investments or private funds
  • Demonstrated ability to raise funds exceeding $50 million
  • Established relationships with RIAs, independent advisors, or high-net-worth investors
  • Experience managing investor relations functions, including communications and reporting
  • Series 65 or Series 7 license is preferred
  • Experience with Regulation A+ or Regulation D fund structures is preferred
  • Existing network of HNW, RIA, family office, or wealth management relationships is preferred
  • Experience with CRM platforms and digital marketing tools is preferred
  • MBA or advanced degree is preferred

Benefits:
  • 100% medical coverage for employees and dependents
  • 401(k) plan with a 3% match
  • Unlimited PTO with flexible scheduling
  • 12 paid holidays including your birthday
  • Home office stipend for setup

If you are a Director Investor Relations and Fundraising looking to take the next step in your career, apply now! #LI-SB1
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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

Social media

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