FINRA BrokerCheck Scraper: Brokers and Advisers

This FINRA BrokerCheck scraper reads the public records that FINRA keeps on every registered broker, investment adviser and brokerage firm in the United States. Search by name, CRD number, firm, state or city and get one clean row per person or per firm: where they work, how long they have been in the industry, which exams they passed, which states they are registered in, and every disciplinary or financial disclosure with its details.

A person row carries much more than a name and a firm. You get the registration type (broker, investment adviser or both), the date they entered the industry and the years since, the current firm and branch with address and coordinates, whether the person works from a private residence, the full employment history with dates and locations, how many firms they worked for, the exams with dates (Series 7, 63, 65, 66, 24, SIE and more) and flags for the common ones, the states where they are registered, and the disclosures: customer disputes, regulatory events, terminations, criminal and civil matters, financial events such as liens, with date, resolution and the text of the case. A firm row adds size, type, status, formation date, office address, phone, number of registered representatives, owners, registered states and counts of disclosures by type.

Compliance teams, recruiters, wealth management firms, due diligence providers, journalists and investors use it to check advisers, to build lead lists and to monitor firms.

What can you do with this BrokerCheck scraper?

• Check a broker or adviser by name or CRD number before you work with them
• List all representatives of a firm in a state or city, with their branch address
• Find advisers with customer disputes, regulatory events or terminations
• Find people with a clean record and more than ten years in the industry
• Find new advisers with a Series 65 or Series 66 license in a city
• Review the employment history of a person: how many firms and how long at each
• Look at barred brokers by name
• Profile a firm: size, owners, states, disclosures and how many representatives it has
• Build lead lists of advisers by city, firm and experience
• Export BrokerCheck data to CSV or Excel, or send it to your CRM

What data can you extract from BrokerCheck?

Mode	One row is	Highlights
Brokers and advisers	One person	Name and other names, CRD, registration type, industry start date and years in the industry, current firm and CRD, date registered with the firm and years there, branch street, city, state, ZIP, latitude and longitude, private residence flag, all current firms with branches, previous firms with dates and places, number of firms ever, exams with dates and scope, flags for Series 7, 63, 65, 66, 24 and SIE, registered states and count, registered exchanges, disclosure count, types, counts by type, flags for customer disputes, regulatory events, terminations, criminal, civil and financial matters, latest disclosure date, the full text of every disclosure, BrokerCheck link
Firms	One firm	Name and other names, CRD, registration type, firm type and size, status, regulator, FINRA district, state and date of formation, years in business, SEC numbers, office address and phone, number of active representatives, disclosure counts by type, registered states, owners and officers with their positions, BrokerCheck link

How to scrape FINRA BrokerCheck

1. Choose Brokers and advisers or Firms.
2. Enter names or CRD numbers. In the advisors mode you can also enter a firm and a state or city to list the people who work there.
3. Pick the registration status: currently registered, no longer registered, barred or all.
4. Optionally filter by disclosures, years in the industry or exams.
5. Set Max Items and click Start.
6. Export the dataset as CSV, Excel or from the Apify console.

Input example

{
  "mode": "advisors",
  "firmCrds": ["7452"],
  "states": ["NC"],
  "status": "active",
  "onlyWithDisclosures": true,
  "maxItems": 100
}

Person output example (illustrative values)

{
  "crd": "1234567",
  "fullName": "Jane Q Example",
  "registrationStatus": "Broker and investment adviser",
  "yearsInIndustry": 18.4,
  "currentFirmName": "EXAMPLE SECURITIES LLC",
  "currentFirmCrd": "99999",
  "yearsAtCurrentFirm": 6.2,
  "branchCity": "Charlotte",
  "branchState": "NC",
  "hasSeries7": true,
  "hasSeries63": true,
  "hasSeries65": false,
  "registeredStateCount": 12,
  "firmsEver": 3,
  "disclosureCount": 1,
  "disclosureTypes": ["Customer Dispute"],
  "brokerCheckUrl": "https://brokercheck.finra.org/individual/summary/1234567"
}

Firm output example

{
  "crd": "250",
  "firmName": "EDWARD JONES",
  "registrationStatus": "Broker and investment adviser",
  "firmSize": "Large",
  "status": "Approved",
  "regulator": "SEC",
  "finraDistrict": "Kansas City",
  "formedState": "Missouri",
  "formedDate": "1941-02-20",
  "yearsInBusiness": 85.6,
  "officeCity": "St. Louis",
  "officeState": "MO",
  "activeRepresentatives": 25373,
  "disclosureCounts": { "Regulatory Event": 183, "Civil Event": 2, "Arbitration": 150 },
  "totalDisclosures": 335,
  "registeredStateCount": 53,
  "brokerCheckUrl": "https://brokercheck.finra.org/firm/summary/250"
}

How much does it cost to scrape BrokerCheck?

You pay per result: $22 per 1,000 rows plus a tiny start fee. The free plan returns up to 10 rows per run. A firm profile is one row, so profiling 100 firms costs a few cents.

Tips for better results

• A single search returns at most 10,000 people. For a large firm, split the search by state or city.
• A search for a common surname returns thousands of people. Add a first name, a state or a firm to narrow it down.
• Turn off Add the full record for a fast list with names, firms and locations. The disclosure filter then uses the flag that the search already gives.
• Disclosures are reported by firms and regulators. A disclosure is not a finding of wrongdoing, and many customer disputes are settled or dismissed. Read the details and the resolution.
• The years in the industry count from the first registration date that FINRA shows. People who have been registered only as advisers may have no date.
• The branch coordinates are the registered branch address. Some people work from a private residence, which the flag shows.
• Firm owners and officers are listed as FINRA shows them.

Who uses BrokerCheck data?

• Compliance and due diligence teams screen advisers and counterparties.
• Recruiters find experienced advisers and new licensees.
• Wealth management firms build prospect lists by city and firm.
• Journalists and researchers study discipline across firms.
• Investors and consumers check who manages their money.

Automate and connect

Schedule the Actor weekly with your watchlist and send the results to Google Sheets, Slack, Zapier, Make or n8n, or trigger a webhook when a run ends.

FAQ

Do I need a FINRA account? No. The Actor works without any login.

Is the data official? It comes from FINRA BrokerCheck, which shows the records of the Central Registration Depository. Check the BrokerCheck page for the latest state of a record.

Does it include investment advisers that are not brokers? Yes. Advisers and brokers are both returned, and the registration type tells them apart.

What does a disclosure mean? A disclosure is an event that the broker, the firm or a regulator reported, such as a customer dispute, a regulatory action, a termination or a financial matter. It is not always a finding against the person.

Why do I get fewer people than the firm has? A search shows at most 10,000 people. Split large firms by state or city, and note that the status filter keeps only registered people by default.

Can I search by city? Yes, in the advisors mode, for the city of the branch where the person works.

Is this legal or financial advice? No. BrokerCheck records are public information. Use them as one input among many and follow the rules of your jurisdiction for how you use personal data.

Legal note

This Actor collects information that is publicly visible on the website. Check the source site's terms and your local rules before using the data, especially rules on personal data and on contacting people. Nothing here is legal or financial advice.

Support

Missing a field or found a bug? Open an issue from the Actor page.