[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-detail-183884-en":3,"doc-seo-183884-105":30,"detail-sidebar-cat-0-en-105":90},{"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":4,"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},183884,1099514067438,"River Wang","https://ap-avatar.wpscdn.com/avatar/100002539ee87300030?x-image-process=image/resize,m_fixed,w_180,h_180&k=1780474512215547542",4,"Exam","Securities Industry Essentials Exam - Broker Information Guidance","Guidance for staying safe when interacting online or investing with financial professionals, emphasizing the need to verify identities and avoid imposters linked through phishing, scam websites, or social media. Directs readers to contact FINRA with concerns about suspicious activity. Includes exam listings for core securities credentials and presents an individual broker’s employment history details as reported on the most recently filed Form U4, including notes about “Present” end dates.","| \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 | Securities Industry Essentials Examination | SIE | 10/01/2018 |\n| \u003Cbr>B | General Securities Representative Examination | Series 7 | 08/27/2012 |\n| State\u003Cbr>Exam | Securities Law Exams | Category | Date |\n| \u003Cbr>B | Uniform Securities Agent State Law Examination | Series 63 | 10/08/2012 |\n\n| \u003Cbr>B 08/2012-11/2018 J. P. MORGAN SECURITIES LLC 79 NEW YORK, NY\u003Cbr>|  |  |  |  |\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| 07/2012-Present | J. P. MORGAN SECURITIES LLC | ANALYST | Y | NEW YORK, NY, United States |\n| 07/2008-Present | JPMORGAN CHASE BANK, NA | ANALYST | Y | NEW YORK, NY, United States |\n| 09/1999-Present | SCHOOL | STUDENT | N | WHITESTONE, NY, 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. |  |  |  |  |","cbCaiol46QvsAQW6","https://ap.wps.com/l/cbCaiol46QvsAQW6","pdf",75412,1,8,"English","en",105,"# Securities Industry Essentials Examination\n## General Securities Representative Examination\n# Securities Law Exams\n## Uniform Securities Agent State Law Examination\n# Employment History","[{\"question\":\"Why should investors verify who they are dealing with online?\",\"answer\":\"Imposters may direct people to phishing or scam sites, or contact them via social media, aiming to steal personal information or money. Verification helps reduce this risk.\"},{\"question\":\"Which FINRA-related exams are listed in the document?\",\"answer\":\"It lists the Securities Industry Essentials Examination (SIE), the General Securities Representative Examination (Series 7), and the Uniform Securities Agent State Law Examination (Series 63).\"},{\"question\":\"How is the broker employment history described, and what does “Present” mean?\",\"answer\":\"The employment history reflects up to 10 years as reported by the broker on the most recently filed Form U4. An end date of “Present” may not match current status if the broker is no longer registered and the information is not updated via Form U4.\"}]","Securities Industry Essentials Exam - Broker Information Guidance | PDF",1788354287,20,{"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":85,"head_meta":87,"extra_data":89,"updated_unix":28},"securities-industry-essentials-exam-broker-information-guidance","",{"@graph":36,"@context":84},[37,53,67],{"@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/exam/",3,{"item":52,"name":13,"@type":43,"position":11},"https://docshare.wps.com/document/securities-industry-essentials-exam-broker-information-guidance/183884/",{"url":52,"name":13,"@type":54,"author":55,"headline":13,"publisher":57,"fileFormat":60,"inLanguage":23,"description":14,"dateModified":61,"datePublished":61,"encodingFormat":60,"isAccessibleForFree":62,"interactionStatistic":63},"DigitalDocument",{"name":9,"@type":56},"Person",{"url":41,"name":58,"@type":59},"DocShare","Organization","application/pdf","2026-09-02",true,{"@type":64,"interactionType":65,"userInteractionCount":4},"InteractionCounter",{"@type":66},"ViewAction",{"@type":68,"mainEntity":69},"FAQPage",[70,76,80],{"name":71,"@type":72,"acceptedAnswer":73},"Why should investors verify who they are dealing with online?","Question",{"text":74,"@type":75},"Imposters may direct people to phishing or scam sites, or contact them via social media, aiming to steal personal information or money. 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