US Broker-Dealer & RIA Data — FINRA BrokerCheck Firm Lookup

Every broker-dealer and registered investment adviser in the United States carries a CRD number, and FINRA publishes the register. This actor turns firm names into CRD numbers, SEC file numbers, legal form and formation date, the main office address and phone, the owners and executive officers filed on Form BD (and, for advisers, on Form ADV), the states a firm is registered in, and — the field compliance teams actually want — disclosure events counted by type. Two SEC sources complete the row: EDGAR gives broker-dealers their EIN and their net capital (read from the annual audit they file), and Form ADV gives advisers their website, headcount and assets under management.

No API key · Official source · Pay only for delivered rows · Same schema across the series

What data do you get?

Field	Description
companyName	Firm name as registered
registrationNumber	CRD number
status	active when the firm holds a current registration, inactive otherwise
statusRaw	FINRA's own scope wording, e.g. ACTIVE, INACTIVE
legalForm	Form of organization as filed, e.g. Corporation, Limited Liability Company (BrokerCheck; Form ADV for adviser-only firms)
incorporatedOn	Date the firm was formed (ISO)
jurisdiction	State the firm was formed in
address	Main office street address — the broker-dealer office; for an adviser-only firm, its Form ADV office
city, postalCode, countryName	Main office city, ZIP code and country
phone	Main office business phone (BrokerCheck; Form ADV for adviser-only firms)
taxNumber	EIN, from the broker-dealer's EDGAR record (joined on its SEC file number)
capital, capitalAsOf	Broker-dealers: net capital under SEC Rule 15c3-1 (the regulatory measure, not book equity) in USD, and the date it is stated for, read from the newest Form X-17A-5 annual audit on EDGAR
capitalSource, capitalFilingUrl	Which audit that is and when it was filed, and the PDF on EDGAR the figure was read from
website	Firm website, from Form ADV — the non-social domain carrying the firm's name
employees	Total employees, Form ADV item 5.A (advisers)
assetsUnderManagement	Regulatory assets under management in USD, Form ADV item 5.F (advisers)
advisoryAccounts	Number of accounts advised, Form ADV item 5.F
websites, socialProfiles	Every site and social account the adviser lists on Form ADV (personal LinkedIn profiles left out)
formAdvFiledOn	Date of the Form ADV filing those fields come from
secCik	EDGAR CIK of the broker-dealer
industry	Broker-dealer, Investment adviser, or both — from the SEC registrations the firm holds
officers	Direct owners and executive officers from Form BD Schedule A: name, role exactly as filed (e.g. 100% OWNER, CHIEF COMPLIANCE OFFICER) and crdNumber. For an adviser BrokerCheck shows none for, Form ADV Schedule A: the same fields plus appointedOn (YYYY-MM), ownership (e.g. 25–50%) and controlPerson
officersSource	Which Schedule A that is: Form BD Schedule A (BrokerCheck) or Form ADV Schedule A, filed YYYY-MM-DD
secNumberBrokerDealer	SEC file number for the broker-dealer registration (8-xxxxx)
secNumberInvestmentAdviser	SEC file number for the adviser registration (801-xxxxx)
brokerDealerScope	Broker-dealer registration scope
investmentAdviserScope	Investment adviser registration scope
adviserOfficeAddress	The office on the firm's Form ADV, for firms registered as advisers
registrationStatus, registrationStatusDate	BrokerCheck firm status (e.g. Approved, Terminated, Cancelled) and the date it took effect
firmSize	FINRA's size class, e.g. Large
fiscalYearEnd	Month the firm's fiscal year ends
hasDisclosures	True when the firm carries disclosure events
disclosureCount	Total disclosure events on the broker-dealer record
disclosures	The same events by type, e.g. { "type": "Regulatory Event", "count": 59 }
registeredStates	U.S. states and territories where the firm is registered as a broker-dealer
branchCount	Number of registered branch offices
otherNames	Doing-business-as and former names
sourceUrl	BrokerCheck page for this firm

Every row also carries query (what you asked for), scrapedAt (ISO timestamp) and, when a lookup fails, error explaining why.

Fields no source publishes. email and dissolvedOn stay null, and capital is filled only for broker-dealers (below); industryCode is filled only where EDGAR assigns a SIC code, which it rarely does for broker-dealer subsidiaries. A terminated registration is not a dissolution, so its date goes to registrationStatusDate, never to dissolvedOn. taxNumber needs the firm on EDGAR (active broker-dealers are: 14 of 15 in a sample); website, employees and assets come only for advisers with a current Form ADV.

Example output

A real row for CRD 5393, with officers (8 in full), registeredStates (53) and socialProfiles (11) shortened. For an adviser, Form ADV also fills assetsUnderManagement — The Vanguard Group: 11092665107962 ($11.09 trillion), 1,702 employees, https://www.vanguard.com.

{
  "country": "US",
  "registry": "FINRA BrokerCheck",
  "companyName": "CHARLES SCHWAB & CO., INC.",
  "registrationNumber": "5393",
  "status": "active",
  "statusRaw": "ACTIVE",
  "legalForm": "Corporation",
  "incorporatedOn": "1971-04-01",
  "jurisdiction": "California",
  "address": "3000 SCHWAB WAY, WESTLAKE, TX, 76262-8104, United States",
  "city": "WESTLAKE",
  "postalCode": "76262-8104",
  "countryName": "United States",
  "phone": "817-859-5000",
  "taxNumber": "94-1737782",
  "website": "https://www.schwab.com",
  "employees": 30690,
  "industry": "Broker-dealer and investment adviser",
  "officers": [
    { "name": "SCHWAB HOLDINGS, INC.", "role": "100% OWNER", "appointedOn": null, "crdNumber": null },
    { "name": "CRAIG, JONATHAN M", "role": "PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING", "appointedOn": null, "crdNumber": "4144656" }
  ],
  "secNumberBrokerDealer": "8-16514",
  "secNumberInvestmentAdviser": "801-29938",
  "adviserOfficeAddress": "425 MARKET STREET, 17TH FLOOR, SAN FRANCISCO, CA, 94105, United States",
  "registrationStatus": "Approved",
  "registrationStatusDate": "1971-06-13",
  "firmSize": "Large",
  "fiscalYearEnd": "December",
  "secCik": "87634",
  "websites": ["https://welcome.schwab.com", "https://www.schwab.com"],
  "socialProfiles": ["https://www.linkedin.com/company/charles-schwab/", "https://www.youtube.com/@CharlesSchwab"],
  "formAdvFiledOn": "2026-09-17",
  "hasDisclosures": true,
  "disclosureCount": 323,
  "disclosures": [
    { "type": "Regulatory Event", "count": 59 },
    { "type": "Civil Event", "count": 3 },
    { "type": "Arbitration", "count": 259 },
    { "type": "Bond", "count": 2 }
  ],
  "registeredStates": ["Alabama", "Alaska", "Arizona", "Arkansas"],
  "branchCount": 1197,
  "sourceUrl": "https://brokercheck.finra.org/firm/summary/5393"
}

Input

{
  "queries": ["Charles Schwab","Vanguard","5393","Robinhood Financial"],
  "maxResultsPerQuery": 10,
  "maxConcurrency": 4,
  "includeRaw": false
}

Input	What it does
queries	Firm names (Charles Schwab) or CRD numbers (5393). Numbers are exact lookups; names run a BrokerCheck firm search.
maxResultsPerQuery	Caps how many rows one query may produce.
maxConcurrency	How many queries run at once. Lower it if the source starts throttling.
includeRaw	Attaches the source's untouched record under raw, for fields this actor does not map.
requestDelayMs	Politeness delay between requests.
proxyConfiguration	Optional. BrokerCheck answers datacenter IPs without a proxy.

What people use it for

• Counterparty due diligence — confirm a firm is currently registered and see whether it carries disclosure events before onboarding it.
• Wealth-management and fintech prospecting — build a list of broker-dealers and RIAs with the main office phone and the executive officers (CEO, CCO, CFO) the firm filed, plus CRD numbers you can join to Form ADV data.
• Compliance monitoring — re-run a watchlist on a schedule and alert on scope, registration-status or disclosure-count changes.

Notes and limits

• Net capital is read from a PDF, because the SEC will only require these audits in machine-readable form from mid-2027 (2029 for smaller firms). The notes to the audit state it in a near-standard sentence ("At December 31, 2025, the Company had net capital of $1,234,567, which was … in excess of its required net capital of …"), and only that statement, or the same figure in the audit's net capital table, is taken — never the required minimum, the excess or a ratio. Measured on 90 randomly drawn 2026 audits: in the last 30, which played no part in writing the rules, 20 gave a figure and all 20 matched the audit on a manual read. About a quarter of the audits are scanned or carry fonts without a text map; their unreadable pages are read by OCR (Tesseract, last page first), and a figure read that way is kept only when the statement's own arithmetic holds (net capital = requirement + excess) or a second, sharper read gives the same figure with high confidence — capitalSource says so. On the 25 sampled audits the text could not answer, OCR recovered 12 figures, all confirmed against the page. Audits that leave the figure out keep capital empty. Each broker-dealer costs two to four more SEC requests, and an OCR'd audit a few seconds more.
• BrokerCheck's firm search is fuzzy. A name query can return firms that merely contain the term, so check companyName before treating a match as exact.
• A hasDisclosures flag means events exist on the record — it is not a judgement about the firm. Read the BrokerCheck report itself before acting on it.
• Adviser-only firms are thinner. For a firm registered only as an investment adviser, BrokerCheck publishes the name, SEC number, scope and Form ADV office, but no legal form, formation date, phone, officers or disclosure breakdown. Form ADV fills legal form, phone, website, headcount and, from its Schedule A, the owners and executive officers — for SEC-registered and exempt reporting advisers that filed in the last 15 months (24,648 in the September 2026 build). State-registered advisers are not in the SEC's files, so their officers stay empty, as does the disclosure breakdown for every adviser. Firms that ended their registration decades ago often carry no address either.
• Each firm costs one extra request to BrokerCheck (its full record). If that request fails, the row still arrives with the search fields and the log says which CRD was affected.
• SEC data is read once per run. The first adviser in a run downloads the day's Form ADV file (about 7 MB compressed; a second file of about 5 MB when a state-registered adviser comes up); each broker-dealer costs two EDGAR requests, paced under the SEC's 10-per-second limit. A firm whose registration ended long ago is usually in neither.

Where the data comes from

FINRA publishes BrokerCheck as a public search service that answers JSON without a key. The SEC publishes Form ADV for every registered adviser as a daily file, and EDGAR's company records as open JSON. Sources: FINRA BrokerCheck, SEC IAPD Form ADV compilation, SEC EDGAR

FAQ

Is this FINRA BrokerCheck scraper free?

The data source is free and needs no API key — you pay only for the rows the run delivers ($0.004 each). Failed or empty lookups are never charged.

Do I need an API key or a login?

No. FINRA publishes BrokerCheck as a public search service that answers JSON without a key.

What can I search by?

Both. A number is treated as a CRD; anything else runs a firm-name search. Inactive firms are returned too — status tells them apart.

How current is the data?

Every run queries the source live, so results are as fresh as the source itself. BrokerCheck reflects Form BD and Form ADV filings, usually within a day of filing.

How fast is it, and how many queries can I run?

Queries run concurrently (4 at a time by default, tunable in the input), and each firm found costs one more request for its full record, plus the SEC lookups above. A prefilled run finishes in seconds; large lists scale roughly linearly and stay well inside a normal run timeout.

Can I export the results to CSV, Excel or JSON?

Yes. Apify datasets export to CSV, Excel, JSON, XML and HTML, and can be pulled through the API or pushed to your own storage.

What happens when a query returns nothing?

You still get a row, carrying your original query and an error field explaining why. Nothing is silently dropped, and you are not charged for it.

Is scraping this data legal?

Yes. BrokerCheck exists so investors and counterparties can check a firm before dealing with it; FINRA publishes it for public use. Individual broker records are personal data — this actor deliberately queries firms only. The owners and officers it returns are the ones the firm itself lists on its public BrokerCheck report (Form BD Schedule A) or its public Form ADV (Schedule A).

Changelog

0.1.14 — 2026-09-25 — OCR bounded by pages

• A scanned audit gets OCR on up to its last 10 unreadable pages, however long the queue behind other audits of the same run.
• No pricing change.

0.1.13 — 2026-09-25 — SEC retries

• SEC requests that meet a 503/429 are retried twice (a transient 503 cost one broker-dealer its EIN and net capital).
• No pricing change.

0.1.12 — 2026-09-25 — net capital from scanned audits (OCR)

• Scanned or font-garbled X-17A-5 audits are read by OCR (Tesseract, English data bundled): only their unreadable pages, last page first. A figure read from pixels is kept only when the statement's arithmetic holds or two reads at different sharpness agree with high confidence; capitalSource names the check. On the 25 sampled audits the PDF text could not answer, 12 figures recovered, 12 of 12 confirmed against the page (Lincoln Investment $19,597,976; Kingswood Capital Partners $2,113,310). Coverage of the 88 sampled audits: 74% → 88%.
• No pricing change.

0.1.11 — 2026-09-25 — broker-dealer net capital

• capital is filled for broker-dealers with their net capital under SEC Rule 15c3-1, read from the newest Form X-17A-5 annual audit on EDGAR: Charles Schwab & Co. $13.2 billion, Robinhood Financial $210.2 million, Loop Capital Markets $57,502,344 (all at 2025-12-31). New capitalAsOf, capitalSource, capitalFilingUrl.
• Measured before release on 90 random 2026 audits; on the 30 kept aside from tuning, 20 gave a figure and 20 of 20 were right. Scanned or garbled PDFs give none.
• No pricing change.

0.1.10 — 2026-09-25 — adviser owners and officers (Form ADV Schedule A)

• officers is filled for investment advisers, which BrokerCheck shows without any: Form ADV Schedule A lists each adviser's direct owners and executive officers, with the month they took the role, their ownership range and whether they control the firm. The Vanguard Group, Charles Schwab Investment Management and Vanguard Advisers now carry their rosters (60, 9 and 8 entries). Read from a monthly-rebuilt foXLabs index of the SEC's Form ADV filing data (newest filing per CRD within 15 months); if it cannot be reached, the field stays empty and the run goes on.
• New officersSource says which Schedule A a row's officers come from. Broker-dealers keep their Form BD list.
• An EDGAR placeholder EIN of zeros is no longer passed on as taxNumber.
• No pricing change.

0.1.9 — 2026-09-25 — SEC data: EIN, website, employees, assets under management

• taxNumber is filled for broker-dealers from their EDGAR company record, joined on the SEC file number (never by name): Charles Schwab & Co. 94-1737782, Robinhood Financial 46-0904959. 14 of 15 active broker-dealers in a sample were on EDGAR; firms that closed before EDGAR are not.
• website, employees and new assetsUnderManagement, advisoryAccounts, websites, socialProfiles, formAdvFiledOn are filled for advisers from the SEC's daily Form ADV file, joined on the CRD. The Vanguard Group: https://www.vanguard.com, 1,702 employees, $11.09 trillion. Form ADV lists every site an adviser uses — brands, careers pages, its people's LinkedIn profiles — so the website is the domain carrying the firm's name, and personal profiles are left out.
• Adviser-only firms also get legalForm, jurisdiction, phone and fiscalYearEnd from Form ADV, where BrokerCheck has none. New secCik.
• SEC requests identify the actor and a contact address in the User-Agent, as the SEC's fair-access policy asks, and stay under its 10-requests-per-second limit.
• In the prefilled run: website and employees 0% → 47%, taxNumber 0% → 27%, phone 20% → 53%, legalForm 47% → 80%.
• No pricing change.

0.1.8 — 2026-09-25 — firm record added: legal form, formation, phone, officers, disclosure counts

• Each firm's full BrokerCheck record is now read, which fills legalForm, incorporatedOn, phone, industry and officers (all empty before) and adds jurisdiction, adviserOfficeAddress, registrationStatus, registrationStatusDate, firmSize, fiscalYearEnd, disclosureCount, disclosures and registeredStates.
• address is now the main office, as the field always promised. Dual broker-dealer/adviser firms used to get their Form ADV office here (Charles Schwab: San Francisco instead of the Westlake, TX main office); that office now sits in adviserOfficeAddress. Broker-dealer-only firms always got an empty address (the search field was misread); they now get the main office whenever BrokerCheck has one (Robinhood Financial: 500 Colonial Center Parkway, Lake Mary, FL).
• countryName is written the same way for every US firm (United States), where the source mixes UNITED STATES, USA and United States.
• No pricing change.

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