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Series 65 Ria Jobs (NOW HIRING)

Altruist

Compliance Officer

Dallas, TX · Hybrid

You'll own substantive compliance work across the RIA's program - with support - while operating ... Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly ...

Altruist

Compliance Officer

Los Angeles, CA · Hybrid

You'll own substantive compliance work across the RIA's program - with support - while operating ... Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly ...

Altruist

Compliance Officer

San Francisco, CA · Hybrid

You'll own substantive compliance work across the RIA's program - with support - while operating ... Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly ...

Ria Health

Licensed Psychologist- (PSYPACT) Remote

Our existing investors SV Health, BPEA and SOSV also participated in the Series B. Ria Health will ... Experience working with older adults (65+) and individuals with co-occurring medical conditions ...

Wealth Enhancement Group

Financial Advisor

Bangor, ME

$70K - $100K/yr

Series 65 (RIA Only) * CFP preferred * Ability to provide high-level planning-oriented service * Possess excellent analytical, organizational, and communication skills (both oral & written) * Ability ...

Mercer Advisors

Regional Vice President, DTC

$141K - $181K/yr

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Series 65 or Series 66 license - unless you hold one of the following designations and it qualifies ...

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All JobsSeries 65 Ria Jobs

Series 65 Ria information

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$11

$27

$45

How much do series 65 ria jobs pay per hour?

As of Jul 23, 2026, the average hourly pay for series 65 ria in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

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
Infographic showing various Series 65 Ria job openings in the United States as of July 2026, with employment types broken down into 100% Full Time. Highlights an 76% In-person, 5% Hybrid, and 19% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.
Director of Brokerage and RIA Operations

Director of Brokerage and RIA Operations

MRINetwork Jobs

Green Bay, WI • On-site

Full-time

Posted 29 days ago

Job description

Director of Brokerage and RIA Operations

If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable control environment, we should talk. Our client is seeking a Director of Brokerage, RIA Operations & Controls to lead the operational strategy, technology enablement, and control framework for its broker-dealer and RIA platform.

This highly visible leadership role oversees account opening, trade support, product governance, clearing firm relationships, commission processing, reconciliation, reporting, and operational integrity while partnering closely with Finance, Risk, Compliance, and Private Wealth. You'll serve as the Operations Principal and FINOP specialist, helping shape a scalable, best-in-class operating model designed for growth.

Qualified candidates will bring 10+ years of broker-dealer or RIA operations experience, including 7+ years of leadership experience, along with a strong understanding of controls, regulatory requirements, and technology-driven efficiency. Series 7, 24, and 27 licenses are required, though candidates possessing two of the three will be considered; Series 4 and 66 (or 63/65) are a plus. Available in Green Bay and Milwaukee only! If you appreciate strong controls, clean reconciliations, and the satisfaction that comes from making complex operations look effortless, you may have just found your people.

To learn more about our organization please visit us at www.westportone.com

To apply for this position, submit your resume by choosing one of the following:

  • ***CLICKING “APPLY NOW” ON THIS PAGE*** (PREFERRED) 
  • Email your resume in WORD format to mollie@westportone.com. Please refer to job reference code NB/DBRIAWI in the subject line. 
  • NO CALLS PLEASE