[Series 65] 60, IA Net Worth and Bonding Requirements
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 minimum net worth requirement for a state-registered investment adviser with custody of client assets is $35,000. - An investment adviser with discretionary authority over client accounts must maintain a minimum net worth of $10,000. - An adviser can post a…
The skinny
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