[Series 65] 62, Custody Rules and Safeguarding Client Assets
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 broad definition of "custody" and how it's tested on the exam. - The critical role and requirements of a qualified custodian. - The purpose and exceptions to the annual surprise examination rule. - How custody is disclosed on Form ADV. - The concept of…
The skinny
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