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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 inadvertent custody and common exam traps associated with it.
For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep
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