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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

04:42

[Series 66] 12, ETFs UITs and Closed-End Funds

Open Exam Prep ·

2026/10/05

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: • Distinctions between open-end funds, closed-end funds, and unit investment trusts (UITs) under the Investment Company Act of 1940. • How closed-end fund shares trade

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04:03

[Series 66] 11, Mutual Funds Share Classes and Fees

Open Exam Prep ·

2026/10/04

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: • Differences between Class A, Class B, and Class C mutual fund share classes. • How Letter of Intent (LOI) and Rights of Accumulation (ROA) help investors achieve

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04:23

[Series 66] 10, Common Preferred and Convertible Stock

Open Exam Prep ·

2026/10/03

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: • Characteristics and voting rights of common stock versus preferred stock. • How cumulative, straight, participating, and callable preferred stock function. •

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04:23

[Series 66] 9, Credit Risk and Callable Bonds

Open Exam Prep ·

2026/10/02

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: • How credit rating scales define investment-grade versus speculative debt categories. • Why bond issuers exercise call features when prevailing interest rates

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04:05

[Series 66] 8, Bond Pricing Yields and Duration

Open Exam Prep ·

2026/10/01

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: * How inverse price-yield relationships impact bond valuation when interest rates move. * How to calculate current yield and rank yield metrics using the bond seesaw

en

04:36

[Series 66] 7, Cash Equivalents and Deposit Protection

Open Exam Prep ·

2026/09/30

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: • Key characteristics of cash equivalents such as Treasury bills, commercial paper, and short-term CDs. • Federal Deposit Insurance Corporation coverage limits of

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04:36

[Series 66] 6, Alpha Beta and the Sharpe Ratio

Open Exam Prep ·

2026/09/29

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 Beta measures systematic market risk relative to a benchmark index - How to calculate CAPM expected return and evaluate Alpha - Why high raw returns do not

en

04:32

[Series 66] 5, Mean Standard Deviation and Correlation

Open Exam Prep ·

2026/09/28

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 arithmetic mean and expected return measure central tendencies in investment analysis. - Why standard deviation represents total risk, incorporating both

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04:22

[Series 66] 4, Liquidity Leverage and Valuation Ratios

Open Exam Prep ·

2026/09/27

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 current and quick ratios evaluate short-term corporate liquidity. • Why excluding inventory provides a stricter measure of immediate short-term solvency. • How

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04:24

[Series 66] 3, Time Value of Money and Discounted...

Open Exam Prep ·

2026/09/26

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 core principles of Time Value of Money, including Present Value and Future Value. • How Discounted Cash Flow analysis evaluates future cash streams for

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04:45

[Series 66] 2, Reading Questions and Avoiding...

Open Exam Prep ·

2026/09/25

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 to distinguish federal law under the Investment Advisers Act of 1940 from state provisions under the Uniform Securities Act. - Key differences between investment

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04:24

[Series 66] 1, Your Study Plan After Series 7

Open Exam Prep ·

2026/09/24

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 the official NASAA Series 66 exam outline breaks down across four weighted content areas. * Why relying on Series 7 investment product knowledge alone can lead

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03:16

Series 7 Exam Prep 100, Final Exam Strategy and...

Open Exam Prep ·

2026/09/15

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 to strategically focus on Function 3, which accounts for 73% of the Series 7 exam. - A method for dissecting customer profile questions to determine the most

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03:33

Series 7 Exam Prep 99, High-Yield Product Comparison...

Open Exam Prep ·

2026/09/14

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 primary suitability case for common stock (growth) versus bonds (income). - The key distinction tested on the exam between ETFs (intraday trading) and mutual

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04:35

Series 7 Exam Prep 98, Regulation and Prohibited...

Open Exam Prep ·

2026/09/13

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: - How Regulation Best Interest (Reg BI) raises the standard of conduct beyond simple suitability and how this is tested with scenario-based questions. - The key

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04:02

Series 7 Exam Prep 97, Trading and Settlement Exam Traps

Open Exam Prep ·

2026/09/12

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 critical difference between a stop order, which guarantees execution but not price, and a stop-limit order, which guarantees a price but not execution. - That

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03:30

Series 7 Exam Prep 96, Communications and Disclosure...

Open Exam Prep ·

2026/09/11

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: - All communications must be fair, balanced, and disclose risks alongside potential rewards. - Misleading performance data, such as showing returns from only favorable

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04:48

Series 7 Exam Prep 95, Retirement and Rollover...

Open Exam Prep ·

2026/09/10

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: - Why a rollover recommendation is a suitability determination under FINRA Rule 2111 and Regulation Best Interest. - How to compare 401(k) and IRA features, including

en

04:47

Series 7 Exam Prep 94, Suitability Drill for Packaged...

Open Exam Prep ·

2026/09/09

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 suitability of mutual fund share classes (A vs. C) based on time horizon and investment amount. - Why placing a variable annuity inside an IRA is a major

en

03:11

Series 7 Exam Prep 93, Suitability Drill for Equity...

Open Exam Prep ·

2026/09/08

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: - Common stock is the top choice for aggressive growth and capital appreciation but carries the highest risk. - For safety and income, U.S. Treasury securities are

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407 results

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