FINRA BrokerCheck - Broker & Financial Advisor Search

Search the FINRA BrokerCheck database for registered brokers, financial advisors, and broker-dealer firms.

What You Get

Individual Search:

• CRD number, name, aliases
• Registration status (Active, Inactive, Expanded)
• Investment Advisor scope
• Disclosure flag (complaints, regulatory actions, bankruptcies)
• Current firm affiliations with branch locations
• Industry start date
• Link to full BrokerCheck report

Firm Search:

• CRD number, firm name
• Registration scope
• Link to full BrokerCheck report

Use Cases

• Due diligence: Verify a broker's credentials before investing
• Compliance: Check registration status and disclosures for KYC/AML
• Lead generation: Find financial advisors by name or location
• Investor protection: Identify brokers with disclosure history
• Competitive intelligence: Research firm registrations and advisor networks

Example Input

{
    "searchType": "individual",
    "query": "Smith",
    "maxResults": 10
}

Example Output

{
    "crd": "1113790",
    "firstName": "JOSEPH",
    "middleName": "THOMAS",
    "lastName": "SMITH",
    "brokerScope": "Active",
    "iaScope": "Active",
    "hasDisclosures": false,
    "activeRegistrations": 1,
    "employmentCount": 2,
    "industryStartDate": "1984-01-14",
    "currentEmployments": [
        {
            "firmName": "LPL FINANCIAL LLC",
            "firmCrd": "6413",
            "branchCity": "MADISON",
            "branchState": "NJ",
            "branchZip": "07940",
            "iaOnly": false
        }
    ],
    "detailUrl": "https://brokercheck.finra.org/individual/summary/1113790"
}

Data Source

All data comes directly from the FINRA BrokerCheck public API. FINRA is the Financial Industry Regulatory Authority.

Pricing

Pay-per-result pricing -- you only pay for records returned. See the Pricing tab for current rates.