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Series 65 Ria Jobs in Spring, TX (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 ...

Texascapitalbank

Trader - Private Bank

Houston, TX · On-site

At least 1-3 years of trading experience; prior experience on RIA, trust, or brokerage trading desk ... Series 65 licensed (or able to obtain in first 90 days) The duties listed above are the essential ...

Aprio

Wealth Advisor

Houston, TX · On-site +1

$150K - $250K/yr

CFP designation, or working towards it. * 5+ years' experience working in Financial Planning for an RIA or Wealth Management Firm. * The series 65 license is required for the position; however ...

Weaver

Senior Wealth Advisor

Houston, TX

Weaver Capital Advisors is an RIA and our services include wealth management and wealth planning ... Series 65 required * Proven sales success and strong business acumen * Strong relationship ...

Hines

Operations Representative

Houston, TX

Ability to obtain Series 7 and 63 licenses after 12 months of employment in good standing ... 65-year history to build the world forward. This is why we prioritize investing in our people ...

Hines

Operations Representative

Houston, TX · On-site

Ability to obtain Series 7 and 63 licenses after 12 months of employment in good standing ... Includes both the global Hines organization and RIA AUM as of December 31, 2023. We are an equal ...

Hines

Operations Representative

Houston, TX

Ability to obtain Series 7 and 63 licenses after 12 months of employment in good standing ... 65-year history to build the world forward. This is why we prioritize investing in our people ...

Hines

Operations Representative

Houston, TX · On-site

Ability to obtain Series 7 and 63 licenses after 12 months of employment in good standing ... 65-year history to build the world forward. This is why we prioritize investing in our people ...

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Series 65 Ria information

See Spring, TX salary details

$10

$24

$40

How much do series 65 ria jobs pay per hour?

As of May 31, 2026, the average hourly pay for series 65 ria in Spring, TX is $24.64, according to ZipRecruiter salary data. Most workers in this role earn between $17.12 and $26.11 per hour, depending on experience, location, and employer.

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 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.

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 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.

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Series 65 Ria jobs near you
Financial Advisor

Financial Advisor

Wealth Enhancement Group

Houston, TX

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 14 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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