Open Exam Prep
Ran Chen, EA, CFP®
Open Exam Prep: Mastering Financial ExamsThe path to becoming a certified financial professional is known for its difficulty, and finding high-quality, accessible study material shouldn't be the hardest part.Created by Ran Chen—an AI application enthusiast, Financial Advisor, and holder of the EA (Tax), Life Insurance, Series 6/63/65, and CFP® designations—this podcast was born from personal experience. Having navigated these challenging exams himself, Ran realized the need for better resources...
Episodes (810)
[Series 65] 74, Insider Trading and Market Manipulation
Open Exam Prep
[Series 65] 73, Fiduciary Duty and Prohibited Practices
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[Series 65] 72, Advisory Contracts and Client Agreements
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[Series 65] 71, Advertising and Marketing Rules for IAs
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[Series 65] 70, Exempt Securities and Exempt Transactions
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[Series 65] 69, Securities Registration Methods
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[Series 65] 68, Uniform Securities Act Overview
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[Series 65] 67, Regulation Best Interest
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[Series 65] 66, Agent and BD Registration Requirements
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[Series 65] 65, Broker-Dealer vs Investment Adviser Distinction
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[Series 65] 64, IAR Definition and Registration Requirements
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[Series 65] 63, Form ADV Part 1 and Part 2 Brochure
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[Series 65] 62, Custody Rules and Safeguarding Client Assets
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[Series 65] 61, Recordkeeping and Books and Records Requirements
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[Series 65] 60, IA Net Worth and Bonding Requirements
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[Series 65] 59, State vs Federal IA Registration
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[Series 65] 58, Investment Advisers Act of 1940
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[Series 65] 57, QDROs and Special Distribution Situations
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[Series 65] 56, ERISA and Plan Fiduciary Standards
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[Series 65] 55, Required Minimum Distributions
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[Series 65] 54, Education Savings 529 and Coverdell
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[Series 65] 53, Traditional and Roth IRAs
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[Series 65] 52, Qualified Retirement Plans 401k and Pension
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[Series 65] 51, Tax-Advantaged Investment Strategies
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[Series 65] 50, Capital Gains Tax Treatment
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[Series 65] 49, Dollar Cost Averaging and Systematic Investing
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[Series 65] 48, Fixed Income Portfolio Strategies
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[Series 65] 47, Active vs Passive Investment Management
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[Series 65] 46, Asset Allocation Strategies
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[Series 65] 45, Sharpe Treynor and Jensen Performance Measures
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[Series 65] 44, Alpha Beta and Standard Deviation
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[Series 65] 43, Efficient Market Hypothesis
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[Series 65] 42, Capital Asset Pricing Model
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[Series 65] 41, Modern Portfolio Theory
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[Series 65] 40, Suitability and Know Your Customer
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[Series 65] 39, Accredited Investors and Qualified Purchasers
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[Series 65] 38, Trusts and Estates as Clients
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[Series 65] 37, Business Entity Types as Clients
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[Series 65] 36, Individual Client Profiles and Life Stages
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[Series 65] 35, Life Insurance Products in Investment Planning
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[Series 65] 34, Annuities Fixed Variable and Indexed
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[Series 65] 33, Options Strategies and Risk Profiles
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[Series 65] 32, Options Basics Calls and Puts
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[Series 65] 31, Hedge Funds and Private Equity
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[Series 65] 30, Closed-End Funds and UITs
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[Series 65] 29, Exchange-Traded Funds vs Mutual Funds
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[Series 65] 28, Mutual Fund Costs 12b-1 Fees and Expenses
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[Series 65] 27, Mutual Fund Structure and and Share Classes
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[Series 65] 26, ADRs REITs and Other Equity Securities
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[Series 65] 25, Equity Valuation Methods
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