# FINRA BrokerCheck Scraper — Brokers, Advisors & Risk Signals (`inexhaustible_glass/finra-brokercheck-scraper`) Actor

Full FINRA BrokerCheck data (free public API): employments, exams, FULL disclosures, registered states — PLUS unique computed risk/lead signals (years in industry, job-hopper, risk level, dual-registered) and firm-record join. Data other scrapers don't give.

- **URL**: https://apify.com/inexhaustible_glass/finra-brokercheck-scraper.md
- **Developed by:** [Hitman studio](https://apify.com/inexhaustible_glass) (community)
- **Categories:** Agents, MCP servers
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $5.00 / 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.

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 + Risk Signals

Get **complete** FINRA BrokerCheck data for any US financial advisor, broker or
firm — straight from FINRA's own public source — **plus risk & lead intelligence
that no other BrokerCheck scraper gives you.**

> One actor for **compliance, due-diligence, recruiting, and B2B lead generation**
> across **600,000+** registered financial professionals and firms.

***

### ✨ Why this is the best BrokerCheck actor

Most scrapers just dump the raw record. This one **computes intelligence and joins
data** on top — so you get decisions, not just rows.

| | Typical BrokerCheck actor | **This actor** |
|---|:---:|:---:|
| Identity, CRD, employments | ✅ | ✅ |
| Exams (state/principal/product) | ✅ | ✅ |
| **Full** disclosures (fraud/complaint detail) | partial | ✅ full |
| Broker-dealer **AND** investment-adviser history | sometimes | ✅ both |
| **Risk level** (clean / medium / high) | ❌ | ⭐ ✅ |
| **Years in industry** (computed) | ❌ | ⭐ ✅ |
| **Job-hopper** flag + firm-change count | ❌ | ⭐ ✅ |
| **Dual-registered** flag | ❌ | ⭐ ✅ |
| **Firm record joined** (firm's own disclosures) | ❌ | ⭐ ✅ |
| **LinkedIn lead enrichment** | ❌ | ⭐ ✅ |
| Search · Detail-by-CRD · Firm search | some | ✅ all 3 |

⭐ = **unique — data other actors can't give you.**

***

### 🎯 Use cases

- **Compliance & due-diligence** — screen advisors for disclosures before onboarding
- **Recruiting** — find & qualify advisors by firm, state, tenure, clean record
- **B2B lead generation** — turn advisor records into a sales-ready list (+ LinkedIn)
- **Risk monitoring** — flag high-risk brokers (fraud, multiple disclosures, job-hopping)
- **Broker-movement tracking** — who moved where, and when

***

### 📥 Input

**Search by name / state / firm:**

```json
{
  "mode": "search",
  "query": "john smith",
  "state": "NY",
  "firm": "Vanguard",
  "activeOnly": true,
  "includeFirmData": true,
  "includeContacts": false,
  "maxResults": 200
}
```

**Look up specific people by CRD:**

```json
{ "mode": "detail", "crd": ["6808119", "4346806"] }
```

**Search firms:**

```json
{ "mode": "firms", "query": "Vanguard", "maxResults": 50 }
```

| Field | Type | Description |
|---|---|---|
| `mode` | string | `search` · `detail` · `firms` |
| `query` | string | Name or keyword |
| `crd` | array | CRD number(s) for direct lookup |
| `state` | string | 2-letter US state filter |
| `firm` | string | Only brokers at this firm |
| `activeOnly` | bool | Currently-registered only (default `true`) |
| `includeFirmData` | bool | ⭐ Join the firm's own record (default `true`) |
| `includeContacts` | bool | ⭐ LinkedIn lead enrichment (default `false`) |
| `maxResults` | int | Max records (default 200) |

***

### 📤 Output — one complete record per broker

```json
{
  "type": "individual",
  "crd": "4346806",
  "firstName": "John",
  "middleName": "A",
  "lastName": "Smith",
  "otherNames": [],
  "bcScope": "Active",
  "iaScope": "Active",
  "daysInIndustrySince": "2000-05-12",
  "currentEmployments": [
    {
      "firmId": "7784",
      "firmName": "FIDELITY BROKERAGE SERVICES LLC",
      "iaOnly": "N",
      "city": "SMITHFIELD",
      "state": "RI",
      "registrationBeginDate": "2014-03-01",
      "bdSECNumber": "17393",
      "branchOfficeLocations": "..."
    }
  ],
  "currentIAEmployments": [],
  "previousEmployments": [
    { "firmName": "MERRILL LYNCH", "city": "NEW YORK", "state": "NY",
      "registrationBeginDate": "2005-06-01", "registrationEndDate": "2014-02-20" }
  ],
  "previousIAEmployments": [],
  "registeredStates": ["NY", "NJ", "CT", "RI", "MA", "FL"],
  "registeredSROs": ["FINRA", "NYSE"],
  "examsCount": { "stateExamCount": 1, "principalExamCount": 1, "productExamCount": 3 },
  "stateExams": [
    { "examCategory": "S63", "examName": "Uniform Securities Agent State Law Examination",
      "examTakenDate": "2000-06-15", "examScope": "BC" }
  ],
  "principalExams": [
    { "examCategory": "S24", "examName": "General Securities Principal Examination",
      "examTakenDate": "2008-02-10", "examScope": "BC" }
  ],
  "productExams": [
    { "examCategory": "SIE", "examName": "Securities Industry Essentials Examination",
      "examTakenDate": "2000-05-20", "examScope": "BC" },
    { "examCategory": "S7", "examName": "General Securities Representative Examination",
      "examTakenDate": "2000-05-25", "examScope": "BC" }
  ],
  "disclosureFlag": "N",
  "iaDisclosureFlag": "N",
  "disclosures": [
    {
      "eventDate": "2011-08-03",
      "type": "Customer Dispute - Settled",
      "resolution": "Settled",
      "category": "Customer Dispute",
      "detail": "Alleged unsuitable recommendations; settled for $25,000 without admission."
    }
  ],

  "signals": {
    "currentFirmName": "FIDELITY BROKERAGE SERVICES LLC",
    "currentlyRegistered": true,
    "yearsInIndustry": 25,
    "firmChangeCount": 9,
    "jobHopper": true,
    "disclosureCount": 1,
    "hasSeriousDisclosure": false,
    "riskLevel": "medium",
    "dualRegistered": true,
    "totalExams": 5
  },

  "currentFirmRecord": {
    "firmCRD": "7784",
    "firmName": "FIDELITY BROKERAGE SERVICES LLC",
    "firmType": "Active",
    "firmDisclosureCount": 2,
    "brokerCount": 18342
  },

  "contacts": { "linkedin": "https://www.linkedin.com/in/john-smith-advisor", "firmWebsite": null, "source": "best-effort" },

  "brokerCheckUrl": "https://brokercheck.finra.org/individual/summary/4346806"
}
```

> `signals`, `currentFirmRecord`, and `contacts` are the ⭐ **value other actors
> don't provide** — computed risk/lead intelligence, joined firm data, and lead
> enrichment.

***

### 🔌 API & MCP access

This actor runs on Apify, so it's instantly available as:

- **REST API** — `POST https://api.apify.com/v2/acts/<actor-id>/runs?token=…`
- **Apify client** (Python / JS / CLI)
- **MCP server** — use it directly from Claude, Cursor or any MCP client via Apify's
  MCP endpoint (`https://mcp.apify.com`), so an AI agent can call BrokerCheck live.
- **Scheduled runs** — monitor advisor movements / new disclosures on a schedule.

***

### ❓ FAQ

**Is this real-time?** Yes — it reads FINRA BrokerCheck's own live public API, so
records are current, not a stale dump.

**How many professionals are covered?** 600,000+ registered brokers & advisers,
plus firms.

**Do I get disclosures (complaints/fraud)?** Yes — full disclosure records with
date, type, resolution and detail, not just a flag.

**Can I get a bulk lead list?** Yes — search by state/firm with `maxResults` for
bulk, or look up specific CRDs.

***

### ⚖️ Legal

Data is **public regulatory information** published by FINRA BrokerCheck. Use it in
line with FINRA's terms, Apify's terms, and applicable privacy law — treat personal
data responsibly (GDPR/CCPA where relevant). **Not affiliated with or endorsed by
FINRA.**

# Actor input Schema

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

search = find brokers by name/state/firm; detail = look up specific CRD numbers; firms = search firms.

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

Broker or firm name to search (e.g. 'John Smith', 'Vanguard').

## `crd` (type: `array`):

Direct CRD lookup (mode=detail). Example: 6808119

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

2-letter US state (e.g. NY) to filter the search.

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

Only brokers at this firm.

## `activeOnly` (type: `boolean`):

Only currently-registered brokers.

## `includeDetail` (type: `boolean`):

Fetch the full profile (employments, exams, disclosures) per broker.

## `includeFirmData` (type: `boolean`):

Also attach the broker's current firm's own record + firm disclosures — data other scrapers don't merge.

## `includeContacts` (type: `boolean`):

Best-effort: find each advisor's LinkedIn via public search. Turns compliance data into a sales lead list.

## `maxResults` (type: `integer`):

Max brokers to return.

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

2-letter country for the residential proxy (default US).

## Actor input object example

```json
{
  "mode": "search",
  "query": "john smith",
  "activeOnly": true,
  "includeDetail": true,
  "includeFirmData": true,
  "includeContacts": false,
  "maxResults": 200,
  "country": "US"
}
```

# Actor output Schema

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

Open the default dataset to view and export scraped 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 '<YOUR_API_TOKEN>' with your token
const client = new ApifyClient({
    token: '<YOUR_API_TOKEN>',
});

// Prepare Actor input
const input = {
    "query": "john smith"
};

// Run the Actor and wait for it to finish
const run = await client.actor("inexhaustible_glass/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 = { "query": "john smith" }

# Run the Actor and wait for it to finish
run = client.actor("inexhaustible_glass/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 '{
  "query": "john smith"
}' |
apify call inexhaustible_glass/finra-brokercheck-scraper --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,inexhaustible_glass/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/6GpjNe2CyLPoR7ese/builds/rLNWBe2qYWvwgglFP/openapi.json