[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-detail-184565-en":3,"doc-seo-184565-105":30,"detail-sidebar-cat-0-en-105":92},{"code":4,"msg":5,"data":6},0,"success",{"doc_id":7,"user_id":8,"nickname":9,"user_avatar":10,"doc_module":4,"category_id":11,"category_name":12,"doc_title":13,"doc_description":14,"doc_content":15,"file_id":16,"file_url":17,"file_type":18,"file_size":19,"view_count":20,"is_deleted":4,"is_public":20,"is_downloadable":20,"audit_status":20,"page_count":21,"language":22,"language_code":23,"site_id":24,"html_lang":23,"table_of_contents":25,"faqs":26,"seo_title":27,"seo_description":14,"update_tm":28,"read_time":29},184565,687207412472,"Angel","https://ap-avatar.wpscdn.com/davatar_155a257f0dc6eb9ab79c44ca47cae57d",8,"Research & Report","FINRA Broker Profile - Employment History, Exams, and Risk Notice","Compilation of an individual broker profile segment covering key compliance details: a risk notice advising users to verify the firm or broker when communicating online or investing, warning against imposter scams and phishing, and directing inquiries to FINRA. It lists FINRA exam identifiers and dates for core securities and state law qualifications. It also provides an employment history overview (up to 10 years) with employer, position, investment-related status, and locations, including effective date ranges.","| \u003Cbr>i | When communicating online or investing with any professional, make sure you know who you're dealing with.  Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media, trying to steal your personal information or your money.\u003Cbr>Please contact FINRA with any concerns. |\n| --- | --- |\n\n| \u003Cbr>No information reported. |  |  |  |\n| --- | --- | --- | --- |\n| General Industry/Product Exams\u003Cbr>Exam |  | Category | Date |\n| \u003Cbr>B | General Securities Representative Examination | Series 7TO | 02/07/2023 |\n| \u003Cbr>B | Investment Company Products/Variable Contracts Representative Examination | Series 6TO | 06/18/2020 |\n| \u003Cbr>B | Securities Industry Essentials Examination | SIE | 05/31/2020 |\n| State\u003Cbr>Exam | Securities Law Exams | Category | Date |\n| \u003Cbr>IA | Uniform Investment Adviser Law Examination | Series 65 | 11/28/2022 |\n| \u003Cbr>B | Uniform Securities Agent State Law Examination | Series 63 | 10/28/2022 |\n\n| \u003Cbr>IA 11/2022-08/2026 WELLS FARGO ADVISORS 19616 POTOMAC, MD\u003Cbr>B 10/2022-08/2026 WELLS FARGO CLEARING SERVICES, LLC 19616 POTOMAC, MD\u003Cbr>\u003Cbr>\u003Cbr>B 06/2020-09/2022 NYLIFE SECURITIES LLC 5167 CHARLESTON, SC |  |  |  |  |\n| --- | --- | --- | --- | --- |\n| Employment History\u003Cbr>This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filed Form U4 .\u003Cbr>Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchange and the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of\"Present\" may not reflect the broker's current employment status.\u003Cbr>Employment Employer Name Position Investment Related Employer Location |  |  |  |  |\n| 08/2026-Present | Citizens Securities, Inc. | Wealth Advisor | Y | Washington , DC, United States |\n| 09/2022-08/2026 | Wells Fargo Bank, NA | Banker | Y | MOUNT PLEASANT, SC, United States |\n| 09/2022-08/2026 | Wells Fargo Clearing Services, LLC | Registered Rep | Y | MOUNT PLEASANT, SC, United States |\n| 03/2020-09/2022 | NYLIFE SECURITIES LLC | Registered\u003Cbr>Representative | Y | CHARLESTON, SC, United States |\n| 10/2019-09/2022 | NEW YORK LIFE INSURANCE COMPANY | AGENT | Y | CHARLESTON, SC, United States |\n| 05/2019-09/2019 | POOGANS PORCH | SERVER | N | CHARLESTON, SC, United States |\n| 03/2019-05/2019 | BETTYS EATERY | FOH Lead | N | MOUNT PLEASANT, SC, United States |\n| 02/2018-03/2019 | ZERO GEORGE | SENIOR CONCIERGE | N | CHARLESTON, SC, United States |\n| 03/2018-09/2018 | MILER'S ALL DAY | FOH Consultant | N | CHARLESTON, SC, United States |\n\n\n| 01/2017-12/2017 | HAROLD'S CABIN | Lead Server | N | CHARLESTON, SC, United States |\n| --- | --- | --- | --- | --- |\n| 06/2016-01/2017 | THE SPECTATOR HOTEL | Senior Concierge | N | CHARLESTON, SC, United States |\n| Other Business Activities\u003Cbr>This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt.\u003Cbr>No information reported. |  |  |  |  |","cbCaiaMUu9Vdyzgx","https://ap.wps.com/l/cbCaiaMUu9Vdyzgx","pdf",83431,1,10,"English","en",105,"# Risk notice\n# Exam history\n## General industry/product exams\n## Securities law exams\n# Employment history\n# Other business activities","[{\"question\":\"What does the document advise users to do before investing or communicating online?\",\"answer\":\"Verify who you are dealing with and watch for imposter links to phishing or scam sites. If there are concerns, contact FINRA.\"},{\"question\":\"Which exam categories and specific exams are listed?\",\"answer\":\"General industry/product exams (including Series 7TO, Series 6TO, and SIE) and state securities law exams (including Series 65 and Series 63).\"},{\"question\":\"How is the broker employment history presented and what does 'Present' mean?\",\"answer\":\"Employment is shown with date ranges, employer, position, investment-related indicator, and location. An end date of “Present” may not reflect the current status if the broker is no longer registered and the information is not updated via Form U4.\"}]","FINRA Broker Profile - Employment History, Exams, and Risk Notice | PDF",1788362060,25,{"code":4,"msg":31,"data":32},"ok",{"site_id":24,"language":23,"slug":33,"title":13,"keywords":34,"description":14,"schema_data":35,"social_meta":87,"head_meta":89,"extra_data":91,"updated_unix":28},"finra-broker-profile-employment-history-exams-and-risk-notice","",{"@graph":36,"@context":86},[37,54,69],{"@type":38,"itemListElement":39},"BreadcrumbList",[40,44,48,51],{"item":41,"name":42,"@type":43,"position":20},"https://docshare.wps.com","Home","ListItem",{"item":45,"name":46,"@type":43,"position":47},"https://docshare.wps.com/document/","Document",2,{"item":49,"name":12,"@type":43,"position":50},"https://docshare.wps.com/document/research-report/",3,{"item":52,"name":13,"@type":43,"position":53},"https://docshare.wps.com/document/finra-broker-profile-employment-history-exams-and-risk-notice/184565/",4,{"url":52,"name":13,"@type":55,"author":56,"headline":13,"publisher":58,"fileFormat":61,"inLanguage":23,"description":14,"dateModified":62,"datePublished":63,"encodingFormat":61,"isAccessibleForFree":64,"interactionStatistic":65},"DigitalDocument",{"name":9,"@type":57},"Person",{"url":41,"name":59,"@type":60},"DocShare","Organization","application/pdf","2026-09-04","2026-09-02",true,{"@type":66,"interactionType":67,"userInteractionCount":20},"InteractionCounter",{"@type":68},"ViewAction",{"@type":70,"mainEntity":71},"FAQPage",[72,78,82],{"name":73,"@type":74,"acceptedAnswer":75},"What does the document advise users to do before investing or communicating online?","Question",{"text":76,"@type":77},"Verify who you are dealing with and watch for imposter links to phishing or scam sites. 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