# FINRA BrokerCheck Scraper — Advisors, Brokers & Firms (`haketa/finra-brokercheck-scraper`) Actor

Scrape FINRA BrokerCheck: US financial advisors, brokers and firms with name, CRD number, broker/advisor registration scope, disclosure flag, years in industry, current firm and location. Search by name, CRD or firm. For KYC, due diligence and advisor lead gen. Not affiliated with FINRA.

- **URL**: https://apify.com/haketa/finra-brokercheck-scraper.md
- **Developed by:** [Haketa](https://apify.com/haketa) (community)
- **Categories:** Lead generation
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $2.00 / 1,000 results

This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events.
Since this Actor supports Apify Store discounts, the price gets lower the higher subscription plan you have.

Learn more: https://docs.apify.com/actors/running/actors-in-store.md#pay-per-event

## What's an Apify Actor?

An Actor is a serverless cloud program that runs on the Apify platform. It has two run modes.
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.

Apify vocabulary and the platform model are defined once, in the agent quickstart at https://apify.com/agents.md.

## 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.

Do not guess an integration path. Every one of them is in the agent quickstart at https://apify.com/agents.md: the Apify MCP server, Agent Skills with the Apify CLI, the JavaScript and Python clients, the REST API, and the account-free path for an agent with no human to sign in. It also carries the rule on stating cost before the first paid run.

For examples already wired to this Actor's own input schema, see the [API](#api) section below.

Each client library has reference documentation the quickstart does not restate: [JavaScript/TypeScript](https://docs.apify.com/api/client/js/docs.md) (`npm install apify-client`) and [Python](https://docs.apify.com/api/client/python/docs.md) (`pip install apify-client`).

# README

## FINRA BrokerCheck Scraper — Advisors, Brokers & Firms

> **Search and scrape FINRA BrokerCheck: US financial advisors, brokers and firms with name, CRD number, broker/advisor registration scope, disclosure flag, years in the industry, current firm and location.** Search by name, CRD or firm. Clean JSON/CSV/Excel in seconds. Built for KYC, due diligence, compliance and financial-advisor lead generation.

[![FINRA BrokerCheck](https://img.shields.io/badge/FINRA-BrokerCheck-003865)]()
[![CRD + Disclosures](https://img.shields.io/badge/CRD%20%2B%20Disclosures-2da44e)]()
[![KYC / Due Diligence](https://img.shields.io/badge/KYC%20%2F%20Lead--Gen-8250df)]()
[![Export](https://img.shields.io/badge/Export-JSON%20%2F%20CSV%20%2F%20Excel-fb8500)]()

***

### What This Actor Does

Search FINRA's BrokerCheck and get a clean record per result:

#### Individuals (brokers & advisors)

Full name, aliases, **CRD number**, broker and investment-advisor **registration scope**, **disclosure flag** (regulatory/complaint history), FINRA registration count, employment count, **years in the industry**, current firm and its city/state, and a BrokerCheck profile link.

#### Firms

Firm name, aliases, **CRD number**, advisor scope, disclosure flag, branch count, office address (street/city/state/ZIP) and a BrokerCheck profile link.

Search by **name, CRD number or firm name**.

***

### Why Use This

- **KYC & due diligence in one call.** Verify an advisor or firm by CRD, registration scope and disclosure history before you engage.
- **Advisor lead generation.** Build lists of registered advisors/brokers by name or firm, with tenure and location.
- **Compliance & background checks.** The disclosure flag surfaces regulatory/complaint history to review.
- **Official & free.** Reads FINRA's public BrokerCheck API — no key, no login, no anti-bot.

***

### Quick Start

#### Run it in the console (no code)

1. Choose **Individuals** or **Firms**.
2. Add **search terms** — names, CRD numbers or firm names.
3. Set **Max results**, click **Start**, export as **JSON, CSV, Excel or HTML**.

#### Verify advisors (Python)

```python
from apify_client import ApifyClient

client = ApifyClient("YOUR_APIFY_TOKEN")

run = client.actor("YOUR_USERNAME/finra-brokercheck-scraper").call(run_input={
    "entityType": "individual", "searchTerms": ["john smith"], "maxItems": 500,
})
for a in client.dataset(run["defaultDatasetId"]).iterate_items():
    print(a["fullName"], "· CRD", a["crd"], "·", a["currentFirm"], "· disclosures:", a["hasDisclosures"])
```

***

### Input Parameters

| Field | Type | Description |
|---|---|---|
| `entityType` | string | `individual` (brokers/advisors) or `firm`. |
| `searchTerms` | array | Names, CRD numbers or firm names. |
| `maxItems` | integer | Max results across all searches. `0` = no limit. |
| `maxPagesPerQuery` | integer | Pagination cap per search (50 per page). |
| `proxyConfiguration` | object | Apify Proxy. Datacenter is enough (public API). |

***

### Output (individual example)

```json
{
  "type": "individual", "crd": "2994694",
  "fullName": "John Allen Smith", "firstName": "John", "lastName": "Smith",
  "otherNames": ["J SMITH"],
  "isBroker": true, "isAdvisor": true,
  "brokerScope": "Active", "advisorScope": "Active",
  "hasDisclosures": false,
  "registrationCount": 3, "employmentsCount": 5, "industryYears": 20.1,
  "currentFirm": "EXAMPLE SECURITIES LLC", "currentFirmCity": "NEW YORK", "currentFirmState": "NY",
  "brokercheckUrl": "https://brokercheck.finra.org/individual/summary/2994694"
}
```

**About coverage:** name, CRD, registration scope, disclosure flag and the BrokerCheck link are present for essentially every result. Current firm, location and tenure are populated for **active** registrants — former or inactive individuals may have no current employment, which is expected.

***

### Use Cases

1. **KYC & due diligence** — verify advisors/firms by CRD, scope and disclosure history.
2. **Advisor lead generation** — build prospect lists by name, firm or region with tenure.
3. **Compliance & background screening** — flag individuals/firms with disclosures to review.
4. **Recruiting & market mapping** — map advisors and firms across the industry.

***

### Tips

- **`hasDisclosures: true`** marks individuals/firms with regulatory or complaint history to review.
- **`isBroker` / `isAdvisor`** separate broker-dealer registration from investment-adviser registration.
- **`industryYears`** gives tenure for seniority filtering.
- Search a **firm name** in individual mode to find people who list it (and in firm mode for the entity).
- **Schedule it** with Apify Schedules to monitor registrations over time.

***

### Frequently Asked Questions

**Do I need an account or key?**
No. FINRA's BrokerCheck API is public and free — no login, key or anti-bot.

**What is a CRD number?**
The Central Registration Depository number — FINRA's unique identifier for a registered individual or firm.

**What does the disclosure flag mean?**
It indicates the individual/firm has one or more disclosures (e.g. regulatory actions, customer complaints) on their BrokerCheck record to review.

**Why do some individuals have no current firm?**
Former or inactive registrants have no current employment; active brokers/advisors do.

**What export formats are supported?**
JSON, CSV, Excel, HTML, or via API — plus Google Sheets, webhooks, Make and Zapier.

***

### Legal & Responsible Use

This Actor is an independent tool and is **not affiliated with, endorsed by, or sponsored by FINRA.** It reads only public BrokerCheck data. Use it responsibly and in line with applicable terms and data-protection laws.

# Actor input Schema

## `entityType` (type: `string`):

Search individuals (brokers/advisors) or firms.

## `searchTerms` (type: `array`):

Names, CRD numbers or firm names to search (e.g. "john smith", "Morgan Stanley").

## `maxItems` (type: `integer`):

Maximum results across all searches. 0 = no limit.

## `maxPagesPerQuery` (type: `integer`):

Pagination cap per search term (50 per page).

## `proxyConfiguration` (type: `object`):

Apify Proxy. The API is public — datacenter is enough and enabled by default.

## Actor input object example

```json
{
  "entityType": "individual",
  "searchTerms": [
    "john smith"
  ],
  "maxItems": 150,
  "maxPagesPerQuery": 20,
  "proxyConfiguration": {
    "useApifyProxy": true
  }
}
```

# Actor output Schema

## `type` (type: `string`):

individual/firm

## `crd` (type: `string`):

CRD number

## `fullName` (type: `string`):

Individual full name

## `firstName` (type: `string`):

First name

## `lastName` (type: `string`):

Last name

## `otherNames` (type: `string`):

Known aliases

## `name` (type: `string`):

Firm name

## `isBroker` (type: `string`):

Registered broker

## `isAdvisor` (type: `string`):

Registered advisor

## `brokerScope` (type: `string`):

Broker registration

## `advisorScope` (type: `string`):

Advisor registration

## `hasDisclosures` (type: `string`):

Has disclosures

## `registrationCount` (type: `string`):

FINRA registrations

## `employmentsCount` (type: `string`):

Employment count

## `industryDays` (type: `string`):

Days in industry

## `industryYears` (type: `string`):

Years in industry

## `currentFirm` (type: `string`):

Current firm

## `currentFirmCity` (type: `string`):

Firm city

## `currentFirmState` (type: `string`):

Firm state

## `currentFirms` (type: `string`):

All current firms

## `branchesCount` (type: `string`):

Firm branch count

## `street` (type: `string`):

Firm street

## `city` (type: `string`):

Firm city

## `state` (type: `string`):

Firm state

## `postalCode` (type: `string`):

Firm ZIP

## `brokercheckUrl` (type: `string`):

BrokerCheck profile

## `scrapedAt` (type: `string`):

ISO timestamp

# 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 '<YOUR_API_TOKEN>' with your token
const client = new ApifyClient({
    token: '<YOUR_API_TOKEN>',
});

// Prepare Actor input
const input = {
    "searchTerms": [
        "john smith"
    ],
    "maxItems": 150,
    "proxyConfiguration": {
        "useApifyProxy": true
    }
};

// Run the Actor and wait for it to finish
const run = await client.actor("haketa/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 '<YOUR_API_TOKEN>' with your token.
client = ApifyClient("<YOUR_API_TOKEN>")

# Prepare the Actor input
run_input = {
    "searchTerms": ["john smith"],
    "maxItems": 150,
    "proxyConfiguration": { "useApifyProxy": True },
}

# Run the Actor and wait for it to finish
run = client.actor("haketa/finra-brokercheck-scraper").call(run_input=run_input)

# Fetch and print Actor results from the run's dataset (if there are any)
print(f"💾 Check your data here: https://console.apify.com/storage/datasets/{run.default_dataset_id}")
for item in client.dataset(run.default_dataset_id).iterate_items():
    print(item)

# 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start

```

## CLI example

```bash
echo '{
  "searchTerms": [
    "john smith"
  ],
  "maxItems": 150,
  "proxyConfiguration": {
    "useApifyProxy": true
  }
}' |
apify call haketa/finra-brokercheck-scraper --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,haketa/finra-brokercheck-scraper"
        }
    }
}
```

The hosted server signs you in with OAuth on first connect, so no API token belongs in this config. Clients without OAuth support can send an `Authorization: Bearer <APIFY_API_TOKEN>` header instead, using a token from API & Integrations in Apify Console (https://console.apify.com/settings/integrations).

## OpenAPI specification

Download the OpenAPI definition: https://api.apify.com/v2/actors/pgftbLTc48iehO0fQ/builds/E4v8A59WPUXC88IuO/openapi.json