[Series 65] 63, Form ADV Part 1 and Part 2 Brochure
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: - Form ADV Part 1 is the regulatory filing for the SEC and states, while Part 2 (the brochure) is the disclosure document for clients. - Part 2A is the firm's brochure, detailing services and fees, while Part 2B is the supplement, detailing the backgrounds of…
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