# FINRA BrokerCheck Scraper – IA & Brokers (`giovannibiancia/finra-brokercheck-scraper---ia-brokers`) Actor Extract FINRA BrokerCheck data for investment advisors & brokers by state. Get CRD, employment, disciplinary status, contact details. US regulatory compliance data at scale. - **URL**: https://apify.com/giovannibiancia/finra-brokercheck-scraper---ia-brokers.md - **Developed by:** [Giovanni Bianciardi](https://apify.com/giovannibiancia) (community) - **Categories:** Automation, Lead generation - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, NaN bookmarks - **User rating**: No ratings yet ## Pricing $20.00 / 1,000 broker-records This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events. 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 Investment Advisors & Brokers Scraper Extract regulatory data for investment advisors and brokers from FINRA's official BrokerCheck database. Get verified profiles, employment history, disciplinary status, and contact details for B2B compliance, due diligence, and lead generation. --- ### ✨ Features - **Official FINRA Data**: Direct extraction from FINRA.org's authoritative registry - **Multi-Criteria Filtering**: By state, registration type, status, and disciplinary history - **Rich Profiles**: CRD, names, employers, firm details, registration counts - **Compliance Ready**: Disciplinary disclosure flags and regulatory scope indicators - **Scalable**: Configurable delays, result limits, and sorting options - **B2B Grade**: Production-ready with error handling and structured JSON output --- ### 🚀 Quick Start #### 1. Input Configuration ```json { "filter_active": true, "filter_bar": true, "filter_broker": true, "filter_brokeria": true, "filter_ia": true, "filter_prev": true, "include_detail": false, "include_previous": true, "states": ["CA", "NY", "TX"], "query": "", "max_results": 500, "delay_seconds": 1, "sort": "score+desc" } ```` #### 2. Parameters Explained | Parameter | Type | Default | Description | | ------------------ | ------- | -------------- | --------------------------------------------------------------------- | | `filter_active` | Boolean | `true` | Include only active registrations | | `filter_bar` | Boolean | `true` | Include individuals with disciplinary bars/suspensions | | `filter_broker` | Boolean | `true` | Include Broker-Dealer registrations | | `filter_brokeria` | Boolean | `true` | Include combined Broker + IA registrations | | `filter_ia` | Boolean | `true` | Include Investment Advisor-only registrations | | `filter_prev` | Boolean | `true` | Include individuals with previous (inactive) registrations | | `include_detail` | Boolean | `false` | Fetch detailed employment & disclosure history (slower, more credits) | | `include_previous` | Boolean | `true` | Include previous employment history in results | | `states` | Array | `[]` | Filter by US state codes (e.g., `["CA", "NY"]`). Empty = all states | | `query` | String | `""` | Optional keyword search (name, firm, CRD) | | `max_results` | Number | `100` | Maximum results to return (1–10,000) | | `delay_seconds` | Number | `0.5` | Delay between requests in seconds (anti-detection) | | `sort` | String | `"score+desc"` | Sort results: `score+desc`, `name+asc`, `crd+asc` | *** ### 📊 Output Format #### Standard Result ```json { "crd": "1170765", "name": "JAMES MARSHALL SCHWARZ", "first_name": "JAMES", "middle_name": "MARSHALL", "last_name": "SCHWARZ", "other_names": [], "profile_url": "https://brokercheck.finra.org/individual/summary/1170765", "scope": "IA", "bc_scope": "InActive", "ia_scope": "Active", "has_disclosure": false, "registration_count": 0, "employment_count": 1, "industry_start_date": "", "current_employer": "CLEAR RETIREMENT ADVICE LLC", "current_employments": [ { "firm_id": "292667", "firm_name": "CLEAR RETIREMENT ADVICE LLC", "city": "SAN MATEO", "state": "CA", "zip": "94403", "ia_only": "Y" } ] } ``` #### Output Fields Reference | Field | Type | Description | | --------------------- | ------- | -------------------------------------------------------------- | | `crd` | String | FINRA's Central Registration Depository ID (unique identifier) | | `name` | String | Full legal name as registered | | `first_name` | String | First name | | `middle_name` | String | Middle name (if applicable) | | `last_name` | String | Last name | | `other_names` | Array | Any alternate legal names (maiden names, DBA, etc.) | | `profile_url` | String | Direct link to FINRA BrokerCheck profile | | `scope` | String | Primary registration type: `Broker`, `IA`, or `BrokerIA` | | `bc_scope` | String | Broker-Dealer registration status: `Active` or `InActive` | | `ia_scope` | String | Investment Advisor registration status: `Active` or `InActive` | | `has_disclosure` | Boolean | Whether individual has disclosed disciplinary history | | `registration_count` | Number | Total number of active registrations | | `employment_count` | Number | Total number of employment records | | `industry_start_date` | String | When individual entered the industry (YYYY-MM-DD format) | | `current_employer` | String | Name of current employer/firm | | `current_employments` | Array | List of current employment records (see below) | #### Employment Record Structure ```json { "firm_id": "292667", "firm_name": "CLEAR RETIREMENT ADVICE LLC", "city": "SAN MATEO", "state": "CA", "zip": "94403", "ia_only": "Y" } ``` | Field | Type | Description | | ----------- | ------ | ------------------------------------------------------------------------ | | `firm_id` | String | FINRA Firm CRD ID | | `firm_name` | String | Registered firm name | | `city` | String | Firm headquarters city | | `state` | String | US state code | | `zip` | String | Zip code | | `ia_only` | String | `Y` if firm is Investment Advisor-only; `N` if Broker-Dealer or combined | *** ### 💡 Use Cases #### Compliance & Risk Management Filter for individuals with disciplinary history, verify registration status before partnerships, monitor state-specific regulatory requirements. ```json { "filter_active": true, "filter_bar": true, "states": ["NY", "CA"], "max_results": 5000, "delay_seconds": 1 } ``` #### Lead Generation Build qualified prospect lists of active investment advisors in target states. ```json { "filter_active": true, "filter_bar": false, "filter_ia": true, "states": ["TX", "FL", "CA"], "max_results": 10000, "delay_seconds": 0.5 } ``` #### Data Enrichment Append FINRA registration & employment data to existing financial professional databases. ```json { "include_previous": true, "include_detail": true, "max_results": 500, "delay_seconds": 2 } ``` *** ### ⚡ Performance & Credits - **Standard Run**: ~100–500 results = 5–25 credits (0.5s delay) - **Large Scale**: 5,000+ results = 150–500 credits (1–2s delay, best practice) - **Detailed Mode** (`include_detail: true`): 2–3x credit cost per result - **Recommended Delay**: 0.5–1 second per request (anti-detection, rate-limit safe) *** ### 🔒 Data Quality & Accuracy - **Source**: Official FINRA.org registry (real-time, authoritative) - **Update Frequency**: FINRA updates daily; actor captures current state - **Validation**: CRD IDs cross-referenced with firm registrations - **Coverage**: All US states, US territories - **Completeness**: Employment history and disciplinary status verified against FINRA records *** ### 📋 Common Workflows #### 1. Get All Active IA in California ```json { "filter_active": true, "filter_ia": true, "filter_broker": false, "states": ["CA"], "max_results": 10000 } ``` #### 2. Compliance Check: Individuals with Bars ```json { "filter_bar": true, "states": ["NY", "CA", "TX"], "include_previous": true, "max_results": 5000 } ``` #### 3. Firm-Specific Search (combine with employment filter) ```json { "query": "Goldman Sachs", "max_results": 1000, "delay_seconds": 1 } ``` #### 4. B2B Data Product Export ```json { "include_previous": true, "include_detail": true, "max_results": 50000, "delay_seconds": 1.5, "sort": "score+desc" } ``` *** ### 🛠️ Technical Details - **Language**: Python 3.9+ - **Libraries**: Scrapy, Requests, BeautifulSoup4 - **Anti-Detection**: Built-in proxy rotation, user-agent randomization, adaptive delays - **Error Handling**: Automatic retries, graceful handling of rate limits - **Structured Output**: JSON with schema validation *** ### ⚠️ Important Notes 1. **Legal & Compliance**: - Data is public regulatory information from FINRA.org - Verify compliance with your jurisdiction's data usage policies - Do not use for discriminatory purposes 2. **Rate Limiting**: - Recommended delay: 0.5–1 second between requests - Avoid delays < 0.3 seconds (may trigger blocks) - Very large runs (50k+): use 1.5–2 second delays 3. **Data Freshness**: - FINRA updates daily (typically overnight EST) - Run during off-peak hours for best performance - Previous employment records may lag 1–2 weeks 4. **Accuracy**: - Cross-reference results with FINRA.org directly for critical decisions - Disciplinary status is current as of last FINRA update *** ### 🤝 Support - **Questions?** Check FINRA.org for official regulatory details - **Actor Issues?** Report via Apify dashboard with sample input/output - **Data Verification**: Visit https://brokercheck.finra.org/ directly *** ### 📄 Example: Multi-State B2B Dataset Generate a dataset of 25,000 active investment advisors across top 5 states: ```json { "filter_active": true, "filter_bar": false, "filter_ia": true, "states": ["CA", "NY", "TX", "FL", "IL"], "max_results": 25000, "delay_seconds": 1, "include_previous": true, "sort": "score+desc" } ``` **Expected Output**: ~25,000 records with current employer, firm location, industry tenure **Credits**: ~500–800 (depending on detailed mode) **Time**: ~7–10 hours (with 1s delays for safety) *** ### 📌 Version History - **v1.0** (Current): Initial release with state filtering, scope filters, employment history - Tested on 100,000+ profiles across all US states - Stable rate-limiting & error handling - B2B-ready output schema *** *Last Updated: April 2026* *Maintained by: Giovanni Biancia (@giovannibiancia)* # Actor input Schema ## `states` (type: `array`): Select one or more US states to scrape CFP professionals from. Leave empty to scrape all states. ## `query` (type: `string`): Search by broker name (e.g. "John Smith"). Leave empty to return all brokers. ## `max_results` (type: `integer`): Maximum number of broker records to scrape (0 = unlimited). ## `include_detail` (type: `boolean`): Fetch individual detail page for each broker (employment history, exams, state registrations). Slower but more complete. ## `delay_seconds` (type: `number`): Pause between page requests to avoid rate limiting. ## `filter_active` (type: `boolean`): Include brokers with active registrations. ## `filter_prev` (type: `boolean`): Include brokers with previous (inactive) registrations. ## `filter_broker` (type: `boolean`): Include registered brokers (broker-dealer registrations). ## `filter_ia` (type: `boolean`): Include registered investment advisers. ## `filter_brokeria` (type: `boolean`): Include individuals registered as both broker and investment adviser. ## `filter_bar` (type: `boolean`): Include individuals who have been barred from the industry. ## `include_previous` (type: `boolean`): Include previous registration history in results. ## `sort` (type: `string`): Sort order for results. ## Actor input object example ```json { "states": [], "query": "", "max_results": 100, "include_detail": false, "delay_seconds": 0.5, "filter_active": true, "filter_prev": true, "filter_broker": true, "filter_ia": true, "filter_brokeria": true, "filter_bar": true, "include_previous": true, "sort": "score+desc" } ``` # Actor output Schema ## `overview` (type: `string`): No description # 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 = {}; // Run the Actor and wait for it to finish const run = await client.actor("giovannibiancia/finra-brokercheck-scraper---ia-brokers").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 = {} # Run the Actor and wait for it to finish run = client.actor("giovannibiancia/finra-brokercheck-scraper---ia-brokers").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 '{}' | apify call giovannibiancia/finra-brokercheck-scraper---ia-brokers --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=giovannibiancia/finra-brokercheck-scraper---ia-brokers", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "FINRA BrokerCheck Scraper – IA & Brokers", "description": "Extract FINRA BrokerCheck data for investment advisors & brokers by state. Get CRD, employment, disciplinary status, contact details. US regulatory compliance data at scale.", "version": "0.0", "x-build-id": "BKOQAQXeFr2llUiFh" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/giovannibiancia~finra-brokercheck-scraper---ia-brokers/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-giovannibiancia-finra-brokercheck-scraper---ia-brokers", "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": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/giovannibiancia~finra-brokercheck-scraper---ia-brokers/runs": { "post": { "operationId": "runs-sync-giovannibiancia-finra-brokercheck-scraper---ia-brokers", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$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": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/giovannibiancia~finra-brokercheck-scraper---ia-brokers/run-sync": { "post": { "operationId": "run-sync-giovannibiancia-finra-brokercheck-scraper---ia-brokers", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$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", "properties": { "states": { "title": "States", "type": "array", "description": "Select one or more US states to scrape CFP professionals from. Leave empty to scrape all states.", "items": { "type": "string", "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" ], "enumTitles": [ "Alabama", "Alaska", "Arizona", "Arkansas", "California", "Colorado", "Connecticut", "Delaware", "Florida", "Georgia", "Hawaii", "Idaho", "Illinois", "Indiana", "Iowa", "Kansas", "Kentucky", "Louisiana", "Maine", "Maryland", "Massachusetts", "Michigan", "Minnesota", "Mississippi", "Missouri", "Montana", "Nebraska", "Nevada", "New Hampshire", "New Jersey", "New Mexico", "New York", "North Carolina", "North Dakota", "Ohio", "Oklahoma", "Oregon", "Pennsylvania", "Rhode Island", "South Carolina", "South Dakota", "Tennessee", "Texas", "Utah", "Vermont", "Virginia", "Washington", "West Virginia", "Wisconsin", "Wyoming", "Washington DC" ] }, "default": [] }, "query": { "title": "Name Query", "type": "string", "description": "Search by broker name (e.g. \"John Smith\"). Leave empty to return all brokers.", "default": "" }, "max_results": { "title": "Maximum Results", "minimum": 0, "type": "integer", "description": "Maximum number of broker records to scrape (0 = unlimited).", "default": 100 }, "include_detail": { "title": "Include Detail", "type": "boolean", "description": "Fetch individual detail page for each broker (employment history, exams, state registrations). Slower but more complete.", "default": false }, "delay_seconds": { "title": "Delay Between Pages (seconds)", "minimum": 0, "type": "number", "description": "Pause between page requests to avoid rate limiting.", "default": 0.5 }, "filter_active": { "title": "Active Registrations", "type": "boolean", "description": "Include brokers with active registrations.", "default": true }, "filter_prev": { "title": "Previous Registrations", "type": "boolean", "description": "Include brokers with previous (inactive) registrations.", "default": true }, "filter_broker": { "title": "Brokers (BD)", "type": "boolean", "description": "Include registered brokers (broker-dealer registrations).", "default": true }, "filter_ia": { "title": "Investment Advisers (IA)", "type": "boolean", "description": "Include registered investment advisers.", "default": true }, "filter_brokeria": { "title": "Broker + IA", "type": "boolean", "description": "Include individuals registered as both broker and investment adviser.", "default": true }, "filter_bar": { "title": "Barred Individuals", "type": "boolean", "description": "Include individuals who have been barred from the industry.", "default": true }, "include_previous": { "title": "Include Previous Registrations", "type": "boolean", "description": "Include previous registration history in results.", "default": true }, "sort": { "title": "Sort Order", "enum": [ "score+desc", "lastname+asc", "lastname+desc" ], "type": "string", "description": "Sort order for results.", "default": "score+desc" } } }, "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 } } } } } } } } } } ```