[Series 65] 65, Broker-Dealer vs Investment Adviser Distinction
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: - Broker-Dealers earn transaction-based commissions and are held to a suitability standard. - Investment Advisers earn fees for providing ongoing advice and are held to a higher, fiduciary standard. - The method of compensation—commissions for transactions versus…
The skinny
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