[Series 65] 58, Investment Advisers Act of 1940
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-prong test (ABC: Advice, Business, Compensation) for defining an investment adviser. - How the L.A.T.E. exclusion for lawyers, accountants, teachers, and engineers is tested on the exam. - The critical distinction between advice that is "solely…
The skinny
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