[Series 65] 72, Advisory Contracts and Client Agreements
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: - Advisory contracts must be in writing and detail the services, term, fee formula, and any discretionary authority. - A change in the majority ownership of an advisory firm is considered an "assignment" and requires client consent. - Performance-based fees are…
The skinny
The skinny isn't ready yet — notes appear once the transcript is processed.