# Financial Advisor & Broker Check (FINRA) (`scrapemint/financial-advisor-check`) Actor Verify US financial advisors, brokers and brokerage firms against FINRA BrokerCheck: registration status, licenses, employment history, disciplinary disclosures, sanctions and permanent bars, by name or CRD number. Pay only for records found. No API key. - **URL**: https://apify.com/scrapemint/financial-advisor-check.md - **Developed by:** [Ken M](https://apify.com/scrapemint) (community) - **Categories:** Business, Other - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks - **User rating**: No ratings yet ## Pricing Pay per usage This Actor is paid per platform usage. The Actor is free to use, and you only pay for the Apify platform usage, which gets cheaper the higher subscription plan you have. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-usage ## What's an Apify Actor? Actors are web data automations that power AI and operations. They run on the Apify platform to scrape websites, process data, connect APIs, and automate workflows. 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/docs.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python/docs.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/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 ## Financial Advisor & Broker Check (FINRA) Verify US financial advisors, brokers and brokerage firms against FINRA BrokerCheck - the official regulatory record - by name or CRD number, in bulk. Registration status, licenses, employment history, disciplinary disclosures, sanctions and permanent bars, as structured rows. No API key, no login, no browser. You pay only for records found. ### What you get One row per individual: - name, CRD number, broker and investment-advisor registration scope - **hasDisclosures** - whether the record carries customer complaints, regulatory actions or other disclosure events - **permanentBar** and **sanctions** ("BAR by SEC") - the career-ending flags - disclosures with type, date and resolution; exams passed; registered states and SROs - employment history with firms, CRD numbers, locations and dates - a link to the official BrokerCheck page Firm mode returns the firm's CRD, SEC number, status, disclosure flag, branch count and expulsion date if any. ```json { "queries": ["jordan belfort", "1736122"], "searchType": "individuals", "includeDetails": true } ```` Names search (best matches first); an all-digits query is fetched directly as a CRD number. ### Who uses this - **Compliance and KYC teams**: screen counterparties, reps and hires against the regulatory record in bulk instead of one-at-a-time site lookups. - **Wealth-management recruiters**: check a candidate's registration, history and disclosures before the first call. - **Investors and family offices**: the check everyone is told to run on an advisor, automated. - **Journalists and researchers**: barred brokers, expelled firms and disclosure patterns as data. Part of our verification suite - pairs with Global Company Verification, Sanctions & Watchlist Scraper and Email List Checker. ### Pricing A small fee per record found. Queries that match nothing are free note rows, and the first 2 chargeable rows of every run are free. ### Notes - Source: FINRA BrokerCheck, the official public record of the US securities industry. Records are FINRA's; this actor returns them as structured data. - A disclosure on record is not proof of wrongdoing - always read the underlying event on the linked BrokerCheck page. - State-registered investment advisers who never held FINRA registration may appear with advisor scope only, or in the SEC's IAPD instead. # Actor input Schema ## `queries` (type: `array`): Advisors, brokers or firms to look up, one per line. A name ("jane doe") searches; an all-digits entry is treated as a CRD number and fetched directly. ## `searchType` (type: `string`): Look up individual advisors/brokers, or brokerage firms. ## `includeDetails` (type: `boolean`): For individuals, also fetch each match's full BrokerCheck record: disclosures with types and dates, sanctions, exams passed, registered states and employment history. One extra request per match. ## `maxPerQuery` (type: `integer`): How many matching records to return per name searched, best matches first. ## `maxRows` (type: `integer`): Stop after this many rows in total. ## Actor input object example ```json { "queries": [ "jordan belfort" ], "searchType": "individuals", "includeDetails": true, "maxPerQuery": 10, "maxRows": 100 } ``` # 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 '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "queries": [ "jordan belfort" ] }; // Run the Actor and wait for it to finish const run = await client.actor("scrapemint/financial-advisor-check").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 '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "queries": ["jordan belfort"] } # Run the Actor and wait for it to finish run = client.actor("scrapemint/financial-advisor-check").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 '{ "queries": [ "jordan belfort" ] }' | apify call scrapemint/financial-advisor-check --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=scrapemint/financial-advisor-check", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "Financial Advisor & Broker Check (FINRA)", "description": "Verify US financial advisors, brokers and brokerage firms against FINRA BrokerCheck: registration status, licenses, employment history, disciplinary disclosures, sanctions and permanent bars, by name or CRD number. Pay only for records found. No API key.", "version": "0.1", "x-build-id": "J849bzidieSfExwYI" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/scrapemint~financial-advisor-check/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-scrapemint-financial-advisor-check", "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/scrapemint~financial-advisor-check/runs": { "post": { "operationId": "runs-sync-scrapemint-financial-advisor-check", "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/scrapemint~financial-advisor-check/run-sync": { "post": { "operationId": "run-sync-scrapemint-financial-advisor-check", "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": [ "queries" ], "properties": { "queries": { "title": "Names or CRD numbers", "type": "array", "description": "Advisors, brokers or firms to look up, one per line. A name (\"jane doe\") searches; an all-digits entry is treated as a CRD number and fetched directly.", "items": { "type": "string" } }, "searchType": { "title": "Search", "enum": [ "individuals", "firms" ], "type": "string", "description": "Look up individual advisors/brokers, or brokerage firms.", "default": "individuals" }, "includeDetails": { "title": "Include full record details", "type": "boolean", "description": "For individuals, also fetch each match's full BrokerCheck record: disclosures with types and dates, sanctions, exams passed, registered states and employment history. One extra request per match.", "default": true }, "maxPerQuery": { "title": "Matches per query", "minimum": 1, "maximum": 100, "type": "integer", "description": "How many matching records to return per name searched, best matches first.", "default": 10 }, "maxRows": { "title": "Max rows", "minimum": 1, "maximum": 10000, "type": "integer", "description": "Stop after this many rows in total.", "default": 100 } } }, "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 } } } } } } } } } } ```