# FINRA BrokerCheck Search - Broker & Firm Registration Metadata (`nexgendata/finra-brokercheck-search`) Actor

- **URL**: https://apify.com/nexgendata/finra-brokercheck-search.md
- **Developed by:** [NexGenData](https://apify.com/nexgendata) (community)
- **Categories:** Business, AI
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, NaN bookmarks
- **User rating**: No ratings yet

## Pricing

from $150.00 / 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/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 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

```json
{
  "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

```json
{
  "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](https://brokercheck.finra.org), 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.

# Actor input Schema

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

Firm name, broker name, or CRD number to look up in FINRA BrokerCheck.

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

What to search: 'firm' for broker-dealers / RIAs, 'individual' for registered persons, or 'auto' to try both (firm first).

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

Hard cap on returned matches. Maximum 100. Default 25.

## Actor input object example

```json
{
  "query": "Goldman Sachs",
  "searchType": "firm",
  "maxResults": 25
}
```

# 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": "Goldman Sachs",
    "searchType": "firm",
    "maxResults": 25
};

// Run the Actor and wait for it to finish
const run = await client.actor("nexgendata/finra-brokercheck-search").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": "Goldman Sachs",
    "searchType": "firm",
    "maxResults": 25,
}

# Run the Actor and wait for it to finish
run = client.actor("nexgendata/finra-brokercheck-search").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 '{
  "query": "Goldman Sachs",
  "searchType": "firm",
  "maxResults": 25
}' |
apify call nexgendata/finra-brokercheck-search --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "command": "npx",
            "args": [
                "mcp-remote",
                "https://mcp.apify.com/?tools=nexgendata/finra-brokercheck-search",
                "--header",
                "Authorization: Bearer <YOUR_API_TOKEN>"
            ]
        }
    }
}

```

## OpenAPI specification

```json
{
    "openapi": "3.0.1",
    "info": {
        "title": "FINRA BrokerCheck Search - Broker & Firm Registration Metadata",
        "version": "0.0",
        "x-build-id": "MnVY7l4NN1mSBFAzn"
    },
    "servers": [
        {
            "url": "https://api.apify.com/v2"
        }
    ],
    "paths": {
        "/acts/nexgendata~finra-brokercheck-search/run-sync-get-dataset-items": {
            "post": {
                "operationId": "run-sync-get-dataset-items-nexgendata-finra-brokercheck-search",
                "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": {
                                "$ref": "#/components/schemas/inputSchema"
                            }
                        }
                    }
                },
                "parameters": [
                    {
                        "name": "token",
                        "in": "query",
                        "required": true,
                        "schema": {
                            "type": "string"
                        },
                        "description": "Enter your Apify token here"
                    }
                ],
                "responses": {
                    "200": {
                        "description": "OK"
                    }
                }
            }
        },
        "/acts/nexgendata~finra-brokercheck-search/runs": {
            "post": {
                "operationId": "runs-sync-nexgendata-finra-brokercheck-search",
                "x-openai-isConsequential": false,
                "summary": "Executes an Actor and returns information about the initiated run in response.",
                "tags": [
                    "Run Actor"
                ],
                "requestBody": {
                    "required": true,
                    "content": {
                        "application/json": {
                            "schema": {
                                "$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": {
                                    "$ref": "#/components/schemas/runsResponseSchema"
                                }
                            }
                        }
                    }
                }
            }
        },
        "/acts/nexgendata~finra-brokercheck-search/run-sync": {
            "post": {
                "operationId": "run-sync-nexgendata-finra-brokercheck-search",
                "x-openai-isConsequential": false,
                "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.",
                "tags": [
                    "Run Actor"
                ],
                "requestBody": {
                    "required": true,
                    "content": {
                        "application/json": {
                            "schema": {
                                "$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",
                "required": [
                    "query"
                ],
                "properties": {
                    "query": {
                        "title": "Search Query",
                        "type": "string",
                        "description": "Firm name, broker name, or CRD number to look up in FINRA BrokerCheck."
                    },
                    "searchType": {
                        "title": "Search Type",
                        "enum": [
                            "firm",
                            "individual",
                            "auto"
                        ],
                        "type": "string",
                        "description": "What to search: 'firm' for broker-dealers / RIAs, 'individual' for registered persons, or 'auto' to try both (firm first)."
                    },
                    "maxResults": {
                        "title": "Max Results",
                        "minimum": 1,
                        "maximum": 100,
                        "type": "integer",
                        "description": "Hard cap on returned matches. Maximum 100. Default 25."
                    }
                }
            },
            "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
                                    }
                                }
                            }
                        }
                    }
                }
            }
        }
    }
}
```