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Series 65 Ria Jobs in Wisconsin (NOW HIRING)

Wealth Enhancement Group

VP Financial Advisor

Milwaukee, WI · On-site

$164K - $250K/yr

Series 65 (RIA Only) * Insurance Licenses * Substantial experience within the wealth management industry * Ability to source and convert prospects to clients and provide high-level planning-oriented ...

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Wisconsin

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 Wisconsin?

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

What job categories do people searching Series 65 Ria jobs in Wisconsin look for?

The top searched job categories for Series 65 Ria jobs in Wisconsin are:

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Series 65 Ria jobs near you

Director of Brokerage / RIA Operations and Controls

Associatedbank

Milwaukee, WI

Full-time

Retirement, PTO

Re-posted 26 days ago

Job description

At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.

Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires.

Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology-enabled efficiency while partnering across Finance, Risk, Compliance, and Private Wealth. It offers high visibility with senior leadership and the opportunity to shape a scalable, best-in-class operating model.

What you'll do:

  • Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting.
  • Oversee operational control frameworks, ensuring compliance with FINRA, SEC regulations, and internal policies.
  • Serve as FINOP (Series 27) responsible for operational inputs supporting net capital, customer protection rules, and books and records integrity.
  • Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting in alignment with WSPs.
  • Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support.
  • Strengthen vendor and clearing firm relationships while identifying opportunities to improve service delivery and efficiency.
  • Advance technology enablement and process improvements to enhance automation, data quality, and scalability.
  • Develop high-performing teams by fostering accountability, continuous improvement, and professional growth.

What you'll bring:

  • Bachelor's degree in Business, Finance, or related field (or equivalent experience)
  • 10+ years of experience in broker-dealer, RIA operations, or financial controls
  • 7+ years of leadership experience in complex operational environments
  • Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks
  • Active Series 7, 24, and 27 (FINOP) licenses

Preferred:

  • Master's degree in Business, Finance, or related field
  • Series 4 and Series 65 or 66 licenses
  • Experience leading operational transformation, technology initiatives, or M&A integrations

Why You'll Love Working Here

At Associated Bank, you'll join a collaborative, growth-oriented environment with a strong commitment to our people and the communities we serve. You'll have the opportunity to influence strategy, lead meaningful change, and partner with leaders across the organization to drive impact. Apply today to make an impact.

We welcome and encourage applications from all qualified parties, including but not limited to people returning to the workforce, people with disabilities, those without a college degree, and veterans or those with military experience.

In addition to core traditional benefits, we take pride in offering benefits for every stage of life.

  • Retirement savings including both 401(k) and Pension plans.

  • Paid time off to volunteer in your community.

  • Opportunities to connect with others through our diversity-focusedColleague Resource Groups.

  • Competitive salaries with professional development and advancement opportunities.

  • Bonus benefits including well-being programs and incentives, parental leave,anemployee stock purchase plan, military benefits and much more.

  • Personal banking, loan, investmentand insurance benefits.

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest.Join our community onFacebook,LinkedInandX.

Compliance Statement

Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.

Responsible to report ethical concerns as needed to Associated Bank's anonymous Ethics Hotline.

Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contactleavesandaccommodations@associatedbank.comif you need an accommodation at any time during the process.

Associated Banc-Corp participates in the E-Verify Program. E-Verify NoticeEnglish or Spanish. Know Your Right to WorkEnglishorSpanish.

Associated Bank isPay Transparencycompliant.


The pay range represents anticipated base pay for this role. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role.


For certain positions, total compensation may also include incentive, commission, or bonus opportunities not reflected in the posted base pay range.


$137,200.00 - $235,200.00 per year

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