Ran Chen, EA, CFP®

Open Exam Prep

Education EN ↓ 452 afleveringen

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 and created Open Exam Prep as a free solution for aspiring professionals. Each episode breaks down...

Bezoek zeker de website van de podcast en steun de maker: open-exam-prep.com

Auteur

Ran Chen, EA, CFP®

Categorie

Education

Website van de podcast

open-exam-prep.com

Nieuwste aflevering

30 okt. 2026

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Afleveringen

[Series 6] 17, 1035 Exchanges 23.02.2026 3:41

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The purpose of an IRC Section 1035 exchange and its primary tax-defe...

[Series 6] 16, Variable Annuity Taxation 22.02.2026 3:53

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - How tax-deferred growth works within a variable annuity's separate a...

[Series 6] 15, Variable Annuity Fees and Charges 21.02.2026 3:33

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam exam. In this episode you will learn: - What the mortality and expense (M&E) risk charge covers and why...

[Series 6] 14, Variable Annuity Payout Options 20.02.2026 3:26

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The key features of a Straight Life annuity payout and who it's best...

[Series 6] 13, Variable Annuity Separate Accounts 19.02.2026 3:37

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The fundamental difference between an insurer's general account and...

[Series 6] 12, Variable Annuities Overview 18.02.2026 4:15

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The dual nature of variable annuities as both insurance and securiti...

[Series 6] 11, Mutual Fund Prospectus and SAI 17.02.2026 3:43

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam exam. In this episode you will learn: - The legal requirement to deliver a mutual fund prospectus at or...

[Series 6] 10, Mutual Fund Distributions 16.02.2026 3:25

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The difference between a mutual fund's dividend distributions and ca...

[Series 6] 9, Index Funds and ETFs 15.02.2026 4:10

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The core differences between passively managed index funds and activ...

[Series 6] 8, Types of Mutual Funds by Objective 14.02.2026 4:29

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam exam — extract the exam name from the title tag, e.g. [SIE] = SIE Exam, [EA] = Enrolled Agent Exam. In...

[Series 6] 7, Mutual Fund Expenses 13.02.2026 3:41

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - How a mutual fund's expense ratio is calculated and the key costs it...

[Series 6] 6, Net Asset Value Calculation 12.02.2026 3:51

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The exact formula for calculating a mutual fund's Net Asset Value (N...

[Series 6] 5, Breakpoint Violations 11.02.2026 3:38

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - What a mutual fund breakpoint is and how it benefits investors. - Ho...

[Series 6] 4, Breakpoints and Sales Charge Reductions 10.02.2026 4:18

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The definition of mutual fund breakpoints and how they reduce sales...

[Series 6] 3, Mutual Fund Share Classes 09.02.2026 3:48

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The key differences between Class A, B, and C mutual fund shares. -...

[Series 6] 2, Open-End vs Closed-End Funds 08.02.2026 3:28

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - How open-end funds continuously issue and redeem shares directly wit...

[Series 6] 1, Introduction to Investment Companies 07.02.2026 4:01

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The three types of investment companies defined by the Investment Co...

[SIE] 60, Suitability and Regulation Best Interest 06.02.2026 3:56

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The key components of a customer investment profile. - How Regulation Bes...

[SIE] 59, Registration and Licensing 05.02.2026 3:41

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam. In this episode you will learn: - The purpose and key information required on Form U4, including the 5...

[SIE] 58, FINRA and SRO Regulation 04.02.2026 3:32

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The distinction between the government authority of the SEC and the self-...

[SIE] 57, SEC and Securities Laws 03.02.2026 4:12

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The key difference between the Securities Act of 1933 (primary market) an...

[SIE] 56, Anti-Money Laundering (AML) 02.02.2026 3:52

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - Learn the key differences between the Bank Secrecy Act and the USA PATRIO...

[SIE] 55, Customer Protection Violations 01.02.2026 4:17

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The definition of churning and how it is identified based on a client's o...

[SIE] 54, Insider Trading 31.01.2026 3:57

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam. In this episode you will learn: - What defines information as both "material" and "non-public." - The...

[SIE] 53, Market Manipulation 30.01.2026 4:19

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam. In this episode you will learn: - Understanding the "pump and dump" scheme where false hype is used to...