# FINRA BrokerCheck Scraper (`crawlerbros/finra-brokercheck-scraper`) Actor Search and retrieve public broker and investment firm data from FINRA BrokerCheck - regulatory actions, employment history, disclosures, exam records, and registration status. Uses FINRA's public REST API - no authentication required. - **URL**: https://apify.com/crawlerbros/finra-brokercheck-scraper.md - **Developed by:** [Crawler Bros](https://apify.com/crawlerbros) (community) - **Categories:** Automation, Developer tools, Integrations - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, NaN bookmarks - **User rating**: No ratings yet ## Pricing from $3.00 / 1,000 results This Actor is paid per event and usage. You are charged both the fixed price for specific events and for Apify platform usage. Since this Actor supports Apify Store discounts, the price gets lower the higher subscription plan you have. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-event ## What's an Apify Actor? Actors are a software tools running on the Apify platform, for all kinds of web data extraction and automation use cases. In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours, and optionally produces a well-defined JSON output, datasets with results, or files in key-value store. In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server. Actors are written with capital "A". ## How to integrate an Actor? If asked about integration, you help developers integrate Actors into their projects. You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready. The best way to integrate Actors is as follows. In JavaScript/TypeScript projects, use official [JavaScript/TypeScript client](https://docs.apify.com/api/client/js.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python.md): ```bash pip install apify-client ``` In shell scripts, use [Apify CLI](https://docs.apify.com/cli/docs.md): ````bash # MacOS / Linux curl -fsSL https://apify.com/install-cli.sh | bash # Windows irm https://apify.com/install-cli.ps1 | iex ```bash In AI frameworks, you might use the [Apify MCP server](https://docs.apify.com/platform/integrations/mcp.md). If your project is in a different language, use the [REST API](https://docs.apify.com/api/v2.md). For usage examples, see the [API](#api) section below. For more details, see Apify documentation as [Markdown index](https://docs.apify.com/llms.txt) and [Markdown full-text](https://docs.apify.com/llms-full.txt). # README ## FINRA BrokerCheck Scraper Search and retrieve public broker and investment firm data from [FINRA BrokerCheck](https://brokercheck.finra.org) — the Financial Industry Regulatory Authority's official public database for verifying broker credentials, employment history, and regulatory disclosures. ### What This Scraper Does - Search individual brokers by name and retrieve their public regulatory profile - Search investment firms by name - Filter brokers by state location - Find brokers with regulatory disclosures - Retrieve employment history, registration status, and disclosure counts ### Output Fields #### Broker Records | Field | Description | |---|---| | `individualId` | FINRA individual source ID | | `firstName` | First name | | `middleName` | Middle name (if available) | | `lastName` | Last name | | `fullName` | Full name combined | | `otherNames` | Aliases or other known names | | `scope` | Broker-dealer registration status (Active/Inactive) | | `iaScope` | Investment adviser registration status | | `hasDisclosures` | Whether broker has any reported disclosures | | `approvedRegistrationCount` | Number of approved FINRA registrations | | `employmentsCount` | Total employment history count | | `industryStartDate` | Date broker entered the industry | | `currentEmployments` | List of current employer(s) with firm details | | `currentEmploymentCount` | Number of current employment records | | `firmName` | Primary current employer name | | `firmState` | State of primary employer | | `profileUrl` | BrokerCheck public profile URL | | `sourceUrl` | Source URL | | `recordType` | Always `broker` | | `scrapedAt` | Scrape timestamp (UTC ISO) | #### Firm Records | Field | Description | |---|---| | `firmId` | FINRA firm source ID | | `firmName` | Firm name | | `iaFirmName` | Investment adviser firm name | | `bdSecNumber` | Broker-dealer SEC number | | `bdFullSecNumber` | Full broker-dealer SEC number | | `iaSecNumber` | Investment adviser SEC number | | `otherNames` | Other known firm names | | `scope` | Broker-dealer status | | `iaScope` | Investment adviser status | | `hasDisclosures` | Whether firm has broker-dealer disclosures | | `iaHasDisclosures` | Whether firm has IA disclosures | | `approvedRegistrationCount` | Number of approved registrations | | `branchesCount` | Number of branch offices | | `address` | Firm address details | | `firmState` | State of firm headquarters | | `firmCity` | City of firm headquarters | | `profileUrl` | BrokerCheck firm profile URL | | `sourceUrl` | Source URL | | `recordType` | Always `firm` | | `scrapedAt` | Scrape timestamp (UTC ISO) | ### Input Options #### Mode: `searchBrokers` (default) Search for individual brokers by name. ```json { "mode": "searchBrokers", "name": "John Smith", "maxItems": 20 } ```` #### Mode: `firmSearch` Search for investment firms by name. ```json { "mode": "firmSearch", "firmName": "Goldman Sachs", "maxItems": 10 } ``` #### Mode: `searchByState` Find brokers operating in a specific state. ```json { "mode": "searchByState", "name": "Smith", "state": "CA", "maxItems": 50 } ``` #### Mode: `disclosureSearch` Find brokers with regulatory disclosures on record. ```json { "mode": "disclosureSearch", "name": "Smith", "maxItems": 20 } ``` ### Use Cases - **Investor due diligence**: Verify broker credentials before investing - **Legal research**: Find brokers with disciplinary histories - **Compliance monitoring**: Track broker employment and registration changes - **Financial research**: Analyze broker networks and firm affiliations ### FAQ **Q: Does this require FINRA credentials?** A: No. FINRA BrokerCheck is a publicly accessible database — no authentication needed. **Q: What information is NOT available?** A: Detailed disclosure documents, exam scores, and private contact information are not in the public API. **Q: How current is the data?** A: FINRA updates BrokerCheck daily with the latest registration and disclosure information. **Q: Can I search for a specific broker's full history?** A: The API provides current employment and a count of total employments. Full employment history details require visiting the BrokerCheck profile URL directly. # Actor input Schema ## `mode` (type: `string`): What to search on FINRA BrokerCheck. ## `name` (type: `string`): Full name or partial name to search for (mode=searchBrokers or firmSearch). ## `firmName` (type: `string`): Firm or company name to search for (mode=firmSearch). ## `state` (type: `string`): 2-letter US state code to filter brokers by location. ## `disclosuresOnly` (type: `boolean`): Only return brokers with at least one disclosure. ## `maxItems` (type: `integer`): Maximum number of records to return. ## Actor input object example ```json { "mode": "searchBrokers", "name": "John Smith", "disclosuresOnly": false, "maxItems": 20 } ``` # Actor output Schema ## `brokers` (type: `string`): Dataset containing all scraped FINRA BrokerCheck broker and firm records. # API You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup. ## JavaScript example ```javascript import { ApifyClient } from 'apify-client'; // Initialize the ApifyClient with your Apify API token // Replace the '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "mode": "searchBrokers", "name": "John Smith", "disclosuresOnly": false, "maxItems": 20 }; // Run the Actor and wait for it to finish const run = await client.actor("crawlerbros/finra-brokercheck-scraper").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`💾 Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`); const { items } = await client.dataset(run.defaultDatasetId).listItems(); items.forEach((item) => { console.dir(item); }); // 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/js/docs ``` ## Python example ```python from apify_client import ApifyClient # Initialize the ApifyClient with your Apify API token # Replace '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "mode": "searchBrokers", "name": "John Smith", "disclosuresOnly": False, "maxItems": 20, } # Run the Actor and wait for it to finish run = client.actor("crawlerbros/finra-brokercheck-scraper").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("💾 Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "mode": "searchBrokers", "name": "John Smith", "disclosuresOnly": false, "maxItems": 20 }' | apify call crawlerbros/finra-brokercheck-scraper --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=crawlerbros/finra-brokercheck-scraper", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "FINRA BrokerCheck Scraper", "description": "Search and retrieve public broker and investment firm data from FINRA BrokerCheck - regulatory actions, employment history, disclosures, exam records, and registration status. Uses FINRA's public REST API - no authentication required.", "version": "1.0", "x-build-id": "Nf6hYj3jA8QSMtQda" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/crawlerbros~finra-brokercheck-scraper/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-crawlerbros-finra-brokercheck-scraper", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/crawlerbros~finra-brokercheck-scraper/runs": { "post": { "operationId": "runs-sync-crawlerbros-finra-brokercheck-scraper", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/crawlerbros~finra-brokercheck-scraper/run-sync": { "post": { "operationId": "run-sync-crawlerbros-finra-brokercheck-scraper", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } } }, "components": { "schemas": { "inputSchema": { "type": "object", "required": [ "mode" ], "properties": { "mode": { "title": "Mode", "enum": [ "searchBrokers", "firmSearch", "searchByState", "disclosureSearch" ], "type": "string", "description": "What to search on FINRA BrokerCheck.", "default": "searchBrokers" }, "name": { "title": "Name to search", "type": "string", "description": "Full name or partial name to search for (mode=searchBrokers or firmSearch).", "default": "John Smith" }, "firmName": { "title": "Firm name to search", "type": "string", "description": "Firm or company name to search for (mode=firmSearch)." }, "state": { "title": "State (mode=searchByState)", "enum": [ "", "AL", "AK", "AZ", "AR", "CA", "CO", "CT", "DE", "FL", "GA", "HI", "ID", "IL", "IN", "IA", "KS", "KY", "LA", "ME", "MD", "MA", "MI", "MN", "MS", "MO", "MT", "NE", "NV", "NH", "NJ", "NM", "NY", "NC", "ND", "OH", "OK", "OR", "PA", "RI", "SC", "SD", "TN", "TX", "UT", "VT", "VA", "WA", "WV", "WI", "WY", "DC" ], "type": "string", "description": "2-letter US state code to filter brokers by location." }, "disclosuresOnly": { "title": "Disclosures only (mode=disclosureSearch)", "type": "boolean", "description": "Only return brokers with at least one disclosure.", "default": false }, "maxItems": { "title": "Max items", "minimum": 1, "maximum": 1000, "type": "integer", "description": "Maximum number of records to return.", "default": 20 } } }, "runsResponseSchema": { "type": "object", "properties": { "data": { "type": "object", "properties": { "id": { "type": "string" }, "actId": { "type": "string" }, "userId": { "type": "string" }, "startedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "finishedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "status": { "type": "string", "example": "READY" }, "meta": { "type": "object", "properties": { "origin": { "type": "string", "example": "API" }, "userAgent": { "type": "string" } } }, "stats": { "type": "object", "properties": { "inputBodyLen": { "type": "integer", "example": 2000 }, "rebootCount": { "type": "integer", "example": 0 }, "restartCount": { "type": "integer", "example": 0 }, "resurrectCount": { "type": "integer", "example": 0 }, "computeUnits": { "type": "integer", "example": 0 } } }, "options": { "type": "object", "properties": { "build": { "type": "string", "example": "latest" }, "timeoutSecs": { "type": "integer", "example": 300 }, "memoryMbytes": { "type": "integer", "example": 1024 }, "diskMbytes": { "type": "integer", "example": 2048 } } }, "buildId": { "type": "string" }, "defaultKeyValueStoreId": { "type": "string" }, "defaultDatasetId": { "type": "string" }, "defaultRequestQueueId": { "type": "string" }, "buildNumber": { "type": "string", "example": "1.0.0" }, "containerUrl": { "type": "string" }, "usage": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "integer", "example": 1 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } }, "usageTotalUsd": { "type": "number", "example": 0.00005 }, "usageUsd": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "number", "example": 0.00005 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } } } } } } } } } ```