FINRA BrokerCheck Search — Broker & Firm Registration Metadata

Look up factual registration metadata on U.S. broker-dealers, registered investment advisers (RIAs), and individual registered persons via FINRA's public BrokerCheck API. Get CRD numbers, current firm affiliations, registration status, years in industry, and disclosure event counts — all sourced directly from FINRA's public records and linked back to the official BrokerCheck page.

Important — what this actor is and is not. This actor returns factual registration metadata only — CRD number, name, current firm affiliation, registration status, years in industry, and disclosure event count (not contents). For full disclosure details, follow the source URL to brokercheck.finra.org. We do not republish disclosure narratives, personal contact data, or editorial assessments. This is not a "blacklist" or "bad-actor" feed — it is a factual lookup of FINRA's public registration records.

What it does

• Takes a free-form query (firm name, broker name, or CRD number) and returns matching registration records.
• For each match, follows up with a single per-CRD detail fetch to produce a clean, structured record.
• Returns broker-dealer / RIA firm records or individual registered-person records, depending on searchType.
• Caps every run at 100 results (hard cap) to keep the actor focused on per-query lookups rather than bulk profile harvesting.

Who it is for

• Compliance teams vetting a broker or firm prior to onboarding.
• RIA and wirehouse recruiters doing factual due diligence on a candidate's registration history before extending an offer.
• M&A advisors screening target firms during book-of-business or roll-up evaluations.
• Financial journalists and researchers confirming registration facts cited in reporting.
• Due-diligence analysts pulling structured CRD lookups into their workflow.

Input

Field	Type	Default	Notes
query	string (required)	Goldman Sachs	Firm name, broker name, or CRD number.
searchType	enum: firm / individual / auto	firm	auto tries firm first and falls back to individual if no firm matches.
maxResults	integer	25	Hard-capped at 100.

Output schema

Firm record

{
  "type": "firm",
  "crd_number": "361",
  "firm_name": "GOLDMAN SACHS & CO. LLC",
  "firm_type": "Both",
  "is_currently_registered": true,
  "registration_status": "Active",
  "main_office_state": "NY",
  "disclosure_event_count": 433,
  "registered_states_count": 53,
  "source_url": "https://brokercheck.finra.org/firm/summary/361",
  "scraped_at": "2026-05-28T12:00:00Z"
}

Individual record

{
  "type": "individual",
  "crd_number": "1113790",
  "full_name": "JOSEPH THOMAS SMITH",
  "current_employments": [
    {"firm_name": "LPL FINANCIAL LLC", "firm_crd": "6413", "start_date": "2020-05-07"}
  ],
  "is_currently_registered": true,
  "registration_status": "Active",
  "years_in_industry": 42,
  "disclosure_event_count": 0,
  "exam_count": 7,
  "state_registrations_count": 9,
  "source_url": "https://brokercheck.finra.org/individual/summary/1113790",
  "scraped_at": "2026-05-28T12:00:00Z"
}

Field reference

• crd_number — FINRA Central Registration Depository identifier (string).
• firm_type — Broker-Dealer, RIA, Both, or Unknown, derived from BD/IA SEC numbers in the BrokerCheck record.
• registration_status — passed through verbatim from FINRA scope fields (Active, Inactive, Expanded, NotInScope, Barred, Suspended, Expelled are all possible FINRA factual values).
• main_office_state — U.S. state code from the firm's office address. State-level only — no street, city, or zip is returned.
• years_in_industry — derived from the earliest industry-calculation date on the FINRA record.
• disclosure_event_count — count only. Narratives, event types, and resolution details are intentionally not returned. Follow source_url for those.
• exam_count — total of state-exam + principal-exam + product-exam categories on file.
• state_registrations_count — approved U.S. state registrations on the FINRA record.
• source_url — direct link to the official FINRA BrokerCheck page for the record.

What this actor deliberately does NOT return

• No email addresses.
• No phone numbers.
• No street addresses, cities, or ZIP codes (state-level location only).
• No date of birth or age.
• No disclosure-event narratives, descriptions, allegations, or outcomes — just an integer count.
• No editorial labels — no "blacklist", "rogue broker", "bad actor", "fraudster", or similar framing. Status strings are FINRA's own factual values.

Sample Output

(Sample dataset screenshot — to be inserted post-launch.)

SEO

FINRA BrokerCheck API, broker-dealer search, CRD lookup, registered investment advisor search, broker background check, FINRA registration lookup, IA firm search, broker due diligence, RIA compliance check, CRD number search.

Source & attribution

All data is sourced from FINRA BrokerCheck, the public registration system operated by the Financial Industry Regulatory Authority. This actor preserves a source_url field on every record so users can verify and read the full public record at FINRA. We do not modify, interpret, or editorialize FINRA's data.