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Series 65 Jobs in Racine, WI (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 ...

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 ...

UMB Financial Corporation

Wealth Advisor

Milwaukee, WI · On-site

$81K - $120K/yr

Must have, or possess ability to obtain, the Series 65 registration within 120 days of employment * You are systems thinking and complex problem solving. * You are highly organized and can ...

Sikich

Lead Wealth Advisor

Brookfield, WI · On-site

$131K - $161K/yr

Series 65 licensing, required * CFP or CPA/PFS, preferred * Excellent communication and listening skills, with the ability to multitask effectively. * Expertise in processing complex financial ...

Sikich

Lead Wealth Advisor

Brookfield, WI

$131K - $161K/yr

Series 65 licensing, required * CFP or CPA/PFS, preferred * Excellent communication and listening skills, with the ability to multitask effectively. * Expertise in processing complex financial ...

Sikich

Lead Wealth Advisor

Brookfield, WI · On-site

Series 65 licensing, required * CFP or CPA/PFS, preferred * Excellent communication and listening skills, with the ability to multitask effectively. * Expertise in processing complex financial ...

UMB Financial

Wealth Advisor

Milwaukee, WI · On-site

$81K - $120K/yr

Must have, or possess ability to obtain, the Series 65 registration within 120 days of employment * You are systems thinking and complex problem solving. * You are highly organized and can ...

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All JobsSeries 65 JobsSeries 65 Jobs in Racine, WI

Series 65 information

See Racine, WI salary details

$10.3K

$73.8K

$131.3K

How much do series 65 jobs pay per year?

As of Sep 4, 2026, the average yearly pay for series 65 in Racine, WI is $73,791.00, according to ZipRecruiter salary data. Most workers in this role earn between $55,300.00 and $89,500.00 per year, depending on experience, location, and employer.

What is a Series 65?

A Series 65 job typically refers to a role as an investment adviser representative (IAR) who provides financial and investment advice to clients. To become an IAR, individuals must pass the FINRA-administered Series 65 exam, which covers topics like regulations, ethics, and portfolio management. This qualification allows them to offer fee-based investment advice, often working for registered investment advisory (RIA) firms. Unlike broker-dealers, Series 65 professionals do not need to sell financial products to earn commissions.

What are some common career paths for someone holding a Series 65 license?

Holding a Series 65 license opens the door to various roles in the financial services industry, such as Investment Advisor Representative, Financial Planner, or Wealth Manager. Many professionals start in client-facing advisory roles, helping individuals and businesses with investment strategies and financial planning. With experience, some move into specialized areas like portfolio management, compliance, or branch management. Advancement often depends on building a strong client base, ongoing education, and sometimes obtaining additional industry certifications. This role provides a solid foundation for long-term career growth in the investment advisory field.

What are the key skills and qualifications needed to thrive in the Series 65 position, and why are they important?

To thrive as a Series 65 professional, you need a solid grasp of investment principles, portfolio management, and regulatory compliance, typically demonstrated by passing the Series 65 Uniform Investment Adviser Law Exam. Familiarity with financial planning software, CRM systems, and portfolio analysis tools is frequently required. Strong interpersonal skills, integrity, and the ability to explain complex financial concepts in simple terms set top performers apart. These skills are critical because Series 65 professionals are trusted to guide clients' financial futures while ensuring adherence to legal and ethical standards.

What is the average salary of a Series 65 holder?

The average salary for a Series 65 licensed financial advisor or investment professional typically ranges from $50,000 to $100,000 annually, depending on experience, location, and the firm. Many Series 65 holders work in financial planning, investment advisory, or wealth management roles, often earning commissions or fees in addition to base pay.

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 roles often involve client consultations, compliance with regulatory standards, and the use of financial analysis tools. The license is essential for careers in registered investment advisory firms and financial planning practices.

What are the most commonly searched types of Series 65 jobs in Racine, WI?

The most popular types of Series 65 jobs in Racine, WI are:

What are popular job titles related to Series 65 jobs in Racine, WI?

For Series 65 jobs in Racine, WI, the most frequently searched job titles are:

Series 65 jobs near you
Infographic showing various Series 65 job openings in Racine, WI as of August 2026, with employment types broken down into 87% Full Time, and 13% Part Time. Highlights an 93% In-person, and 7% Hybrid job distribution, with an average salary of $73,791 per year, or $35.5 per hour.

Brokerage Services Registered Analyst - Series 7/63 - Remote

Northwestern Mutual Life Insurance Company

Franklin, WI • Remote

$34.66/hr

Full-time

Re-posted yesterday

Northwestern Mutual rating

8.0

Company rating: 8.0 out of 10

Based on 76 frontline employees who took The Breakroom Quiz

171st of 315 rated insurance

Job description

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions.

Success in this role requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities-helping strengthen relationships and support client retention.

Primary Duties & Responsibilities:

  • Provide consultative service to clients and advisors on a variety of investment concepts

  • Act as a point of expertise on multiple areas: mutual fund trading, brokerage account servicing, cost basis, and tax reporting

  • Participate in opportunities to apply industry knowledge while gaining exposure to complex problems and building upon critical thinking skills

  • Collaborate regularly with department leads and NM Wealth business partners to drive product enhancements

  • Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry

  • Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.

  • Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.

  • Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.

Qualifications

  • FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)

  • Associates degree in business or related field or equivalent combination of education and experience

  • Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills

  • An intermediate understanding of tax implications related to investments

  • A strong desire to continuously learn and improve

  • Strong problem-solving and scenario-evaluation skills with an ability to provide solution

Skills You Have

  • Customer Support (NM): Captures customer information for inquiry and analysis in an organized, clear, and consistent manner; uses customer intelligence to solve problems, support informed decisions, communicate with customers and the field, and resolve complaints efficiently.

  • Root Cause Analysis & Decision Quality (NM): Applies problem-solving methods to identify the fundamental causes of issues and makes timely, data-driven decisions by evaluating success factors, customer risks, business requirements, and value.

  • Analytical Thinking (NM): Organizes and compares information to identify complex underlying issues through quantitative data and analysis; considers multiple perspectives and consistently seeks process improvements.

  • Data Security (NM): Protects customer privacy and confidentiality, maintains appropriate access to private data, and follows applicable legal and regulatory requirements for data management.

  • Client Advocacy (NM): Translates customer issues and pain points into requirements, represents clients' best interests, and communicates client feedback to product teams and relevant stakeholders.

  • Investment Products (NM): Applies knowledge of investment products, financial markets, investment concepts, and related regulations while considering customer needs, market trends, and cross-functional partnerships.

  • Compliance (NM): Applies organizational standards, policies, processes, and procedures to ensure regulatory requirements are met and compliance is maintained.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:

$23.11

Pay Range - End:

$34.66

Geographic Specific Pay Structure:

Structure 110:

Structure 115:


We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.


Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!


Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.


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About Northwestern Mutual

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Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

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