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Series 65 Ria Jobs in Virginia (NOW HIRING)

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures ... FINRA Series 7, 24 66 or 63/65) a plus. * Prior experience with the Investment Advisers Act of 1940 ...

New

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.

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?

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 working for registered investment advisory firms or independently. The license allows for client-facing advisory work and requires knowledge of securities regulations and financial planning tools.

What are popular job titles related to Series 65 Ria jobs in Virginia?

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

What cities in Virginia are hiring for Series 65 Ria jobs?

Cities in Virginia with the most Series 65 Ria job openings:

Senior Vice President, Business Development

D.A. Davidson

Richmond, VA • On-site

Other

Medical, Dental, Vision, PTO

This job post has expired today. Applications are no longer accepted.


D.A. Davidson rating

7.9

Company rating: 7.9 out of 10

Based on 5 frontline employees who took The Breakroom Quiz


Job description

Senior Vice President, Business Development

The Senior Vice President, Business Development will be responsible for developing and executing business development strategies designed to increase assets under management and revenues across Davidson Investment Advisors' investment solutions. This individual will cultivate relationships with financial advisors, registered investment advisors, bank trust departments, family offices, consultants, and other key distribution partners throughout the Mid-Atlantic region. The successful candidate will be a highly motivated, consultative sales professional with deep knowledge of investment management, separate accounts, fixed income strategies, equity strategies, model portfolios, and advisor distribution channels. This individual will serve as a senior ambassador for the firm and play a critical role in expanding awareness of Davidson Investment Advisors' investment capabilities and strengthening relationships with existing strategic partners. The position will be based in Richmond, Virginia, and will report to the Director of Business Development.

Business Development & Asset Growth Develop and execute a territory business plan focused on gathering new assets and expanding strategic relationships. Identify, qualify, and cultivate new opportunities across independent advisor, RIA, broker-dealer, bank, trust, and institutional channels. Support relationships with platform gatekeepers, due diligence teams, consultants, and home-office decision makers to increase access and distribution. Collaborate with investment and client service professionals to deliver tailored solutions for prospective clients. Relationship Management Build and maintain long-term relationships through consultative engagement and ongoing service. Conduct in-person and virtual meetings with advisors, clients, and centers of influence. Represent Davidson Investment Advisors at conferences, industry events, and educational programs. Serve as a trusted resource on the firm's investment capabilities, portfolio positioning, and market outlook. Strategic Collaboration Work closely with portfolio managers, research analysts, and operations team members to support sales initiatives. Contribute to marketing campaigns, educational content, and business development materials. Maintain accurate and timely activity records within CRM systems. Provide market intelligence and competitive insights to senior leadership.

Required Qualifications Bachelor's degree in Finance, Business, Economics, Marketing, or related field. 10+ years of investment management, asset management, wealth management, or institutional sales experience. Demonstrated success sourcing, developing, and closing new business opportunities. Deep understanding of: o Separately Managed Accounts (SMAs) o Unified Managed Accounts (UMAs) o Fixed Income Strategies o Equity Strategies o Model Portfolio Distribution Strong presentation, communication, and relationship-building skills. Ability to work independently while collaborating effectively in a team environment. Ability to travel regularly throughout assigned territory. Series 65 or 66 license (or ability to obtain within a defined period). Preferred CFA, CFP, CIMA, MBA, or other relevant professional designation. Existing relationships within the RIA, broker-dealer, bank trust, or institutional consultant communities. Experience working with advisor platform distribution partners and home-office research teams.

What Success Looks Like The successful candidate will: Expand Davidson Investment Advisors' presence and asset distribution throughout the Mid-Atlantic region. Generate meaningful net new assets across strategic distribution channels. Establish trusted relationships with financial advisors and key decision makers. Increase awareness of the firm's investment capabilities and thought leadership. Contribute to the long-term growth objectives of Davidson Investment Advisors. Model behaviors in alignment with the firm's Team Agreement, which is a commitment to the following: o Curiosity (avoid becoming defensive and remaining open to learning) o Accountability (taking 100% responsibility (no more; no less) for results; no blaming) o Candor (engaging in courageous truth-telling to increase power and speed in decisions) o Awareness (tapping every emotional and intuitional resource for decisions) o Passion (discovering and allowing people to do what they do best) o Appreciation (expressing gratitude and fostering a culture of sincere cooperation)

What we offer: Competitive salary plus excellent benefits and perks including, but not limited to: Medical, Dental and Vision Company 401(k)and ESOP contribution Generous sick, vacation, and maternity/parental leave Paid holidays Professional Development Opportunities Tuition Reimbursement ($15,000 lifetime cap) Discounted personal insurance including home, auto and recreational vehicles Charitable gift-matching program Davidson Day of Giving Our tradition of positively impacting communities in which we live and work.

The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.


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