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PODCAST

Open Exam Prep

Ran Chen, EA, CFP®

Open Exam Prep: Mastering Financial Exams The 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

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All Episodes

02:32

Series 7 Exam Prep 13, Education Accounts and...

Open Exam Prep ·

2026/06/20

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The key differences between 529 plans and Coverdell ESAs regarding contribution limits and income restrictions. - Who maintains control over the assets in 529 plans

en

03:44

Series 7 Exam Prep 12, Retirement Accounts and ERISA...

Open Exam Prep ·

2026/06/19

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The critical tax differences between Traditional IRAs (pre-tax, taxed later) and Roth IRAs (post-tax, tax-free later) and how it impacts suitability. - The

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03:48

Series 7 Exam Prep 11, Margin Accounts and Customer...

Open Exam Prep ·

2026/06/18

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The three components of the margin agreement: the credit agreement, hypothecation agreement, and the optional loan consent form. - Key risks outlined in the

en

03:14

Series 7 Exam Prep 10, Discretionary Accounts and...

Open Exam Prep ·

2026/06/17

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The three elements that define a discretionary trade: Asset, Action, and Amount (the three 'A's'). - The critical difference between full discretion, which requires

en

02:41

Series 7 Exam Prep 9, Account Registrations and...

Open Exam Prep ·

2026/06/16

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - In a Joint Tenants with Rights of Survivorship (JTWROS) account, assets pass directly to the surviving owner, avoiding probate, whereas in a Tenants in Common (TIC)

en

02:55

Series 7 Exam Prep 8, Know Your Customer and Customer...

Open Exam Prep ·

2026/06/15

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - How FINRA's Know Your Customer (KYC) rule provides the foundation for all investment recommendations. - The key elements of a customer's investment profile,

en

03:06

Series 7 Exam Prep 7, Customer Account Opening Basics

Open Exam Prep ·

2026/06/14

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The four essential pieces of customer information required by the Customer Identification Program (CIP): name, date of birth, address, and tax ID number. - A

en

04:08

Series 7 Exam Prep 6, Exempt Securities and Exempt...

Open Exam Prep ·

2026/06/13

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The critical distinction between exempt securities (based on the issuer) and exempt transactions (based on how the security is sold), a common point of confusion on

en

03:36

Series 7 Exam Prep 5, IPO Rules and New Issue...

Open Exam Prep ·

2026/06/12

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The definition of 'restricted persons' under FINRA Rule 5130 and who is prohibited from buying common stock IPOs. - How the violation of 'free-riding and

en

03:51

Series 7 Exam Prep 4, New Issues, Underwriting, and...

Open Exam Prep ·

2026/06/11

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The primary issuance process begins with filing an S-1 registration statement, which initiates a 20-day cooling-off period for SEC review. - During the cooling-off

en

03:29

Series 7 Exam Prep 3, Broker-Dealer Business and...

Open Exam Prep ·

2026/06/10

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The critical difference between correspondence, retail, and institutional communications based on the "25 retail investor" rule. - Why retail communications require

en

03:03

Series 7 Exam Prep 2, What a General Securities...

Open Exam Prep ·

2026/06/09

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The Series 7, or General Securities Representative license, offers the broadest authority to solicit and sell most types of securities. - Permitted products include

en

03:05

Series 7 Exam Prep 1, Exam Structure and Function...

Open Exam Prep ·

2026/06/08

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The Series 7 exam has 125 scored questions and 10 unscored pretest items, with a time limit of 3 hours and 45 minutes. - Function 3, covering recommendations and

en

03:43

[Series 65] 75, Anti-Money Laundering and Senior...

Open Exam Prep ·

2026/06/07

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The difference between a Currency Transaction Report (CTR) for cash transactions over $10,000 and a Suspicious Activity Report (SAR) for suspicious activity of

en

04:32

[Series 65] 74, Insider Trading and Market Manipulation

Open Exam Prep ·

2026/06/06

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - What constitutes material nonpublic information and how it's tested on the exam. - The specific requirements for establishing tipper-tippee liability, including the

en

04:51

[Series 65] 73, Fiduciary Duty and Prohibited Practices

Open Exam Prep ·

2026/06/05

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - The two primary components of fiduciary duty for an investment adviser are the duty of care and the duty of loyalty. - The duty of care includes providing suitable

en

02:04

[Series 65] 72, Advisory Contracts and Client Agreements

Open Exam Prep ·

2026/06/04

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.In this episode you will learn: - Advisory contracts must be in writing and detail the services, term, fee formula, and any discretionary authority. - A change in the majority ownership of an

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02:54

[Series 65] 71, Advertising and Marketing Rules for IAs

Open Exam Prep ·

2026/06/03

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The SEC Marketing Rule now allows testimonials and endorsements, but requires clear disclosures about compensation and client status. - Performance advertising must

en

02:59

[Series 65] 70, Exempt Securities and Exempt...

Open Exam Prep ·

2026/06/02

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - To distinguish between exempt securities (based on what they are) and exempt transactions (based on how they are sold). - That securities issued directly by a bank

en

03:50

[Series 65] 69, Securities Registration Methods

Open Exam Prep ·

2026/06/01

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - When to apply Registration by Coordination for securities offerings registered with the SEC and sold in multiple states. - The specifics of Registration by

en

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