# Financial Adviser Directory — BrokerCheck & IAPD Records API (`nexgendata/finra-adviser-movement-tracker`) Actor

Search public FINRA BrokerCheck & SEC IAPD registers — adviser names, CRD, firm, state, registration status. Public records for recruiting and vendor prospecting.

- **URL**: https://apify.com/nexgendata/finra-adviser-movement-tracker.md
- **Developed by:** [NexGenData](https://apify.com/nexgendata) (community)
- **Categories:** Lead generation
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $50.00 / 1,000 adviser records

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/actors/running/actors-in-store.md#pay-per-event

## 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.

- **AI agents and MCP clients** — the [Apify MCP server](https://docs.apify.com/integrations/mcp.md) at `https://mcp.apify.com` (remote, streamable HTTP, OAuth on first use).
- **Agentic workflows and local Actor development** — [Agent Skills](https://apify.com/.well-known/agent-skills/index.json) with the [Apify CLI](https://docs.apify.com/cli/docs.md): `npm install -g apify-cli`, then `apify login`.
- **JavaScript/TypeScript projects** — the official [JS/TS client](https://docs.apify.com/api/client/js/docs.md): `npm install apify-client`.
- **Python projects** — the official [Python client](https://docs.apify.com/api/client/python/docs.md): `pip install apify-client`.
- **Any other language** — 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 Adviser Directory

Search the public FINRA BrokerCheck and SEC IAPD registers for financial advisers and brokers — names, CRD numbers, firms and registration status. Public registration data for recruiting and vendor prospecting.

> Public FINRA/SEC registration records. Factual public data — **not an assessment of any individual** and not investment, suitability or creditworthiness advice.

### ⏰ Run this as a recruiting/prospecting monitor (recommended)

```json
{ "query": "Smith", "state": "NY", "source": "brokercheck", "maxResults": 100 }
```

Schedule a weekly sweep (`0 8 * * 1`) to track advisers by firm or state for recruiting and vendor outreach.

### 📊 What you get

Clean JSON, one record per adviser (fields from a live test run):

- `name` · `crd` — name + Central Registration Depository number
- `firm` · `firmCity` · `firmState` · `firmZip` — current registered firm/branch
- `brokerScope` · `adviserScope` — registration scope (Active / Expanded / Inactive)
- `registeredSince` — industry registration date
- `otherNames` — known other names
- `hasDisclosures` — whether the public record carries any disclosures (a factual flag from the register, reported as-is)
- `firmSecNumber` · `source` · `sourceUrl` — official BrokerCheck/IAPD page

**Pricing:** $0.05 per adviser record (Pay-Per-Event) — about **20 advisers per $1**. Plus a $0.005 actor-start.

### 🤖 Use with AI agents

**Sample agent prompt:**

```
Find advisers at a given firm in New York and return name, CRD, firm and registration scope.
```

**Agentic payments (x402):** Supports agentic payment via x402 — call this actor with USDC, no API key required.

### 🔗 Turn advisers into outreach

Enrich → verify → deliver: [Person Enrichment](https://apify.com/nexgendata/person-enrichment-lookup) · [B2B Contact Enricher](https://apify.com/nexgendata/b2b-contact-enricher) · [Email Verification](https://apify.com/nexgendata/email-verification-tool) · [Leads to Notion CRM](https://apify.com/nexgendata/leads-to-notion-crm)
Related regulatory records: [SEC Litigation Releases](https://apify.com/nexgendata/sec-litigation-releases)

***

*Public FINRA/SEC registration records. Assembled for recruiting and vendor prospecting — not an assessment of any individual.*

# Actor input Schema

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

Name to search in the public register (first, last, or full name).

## `firm` (type: `string`):

Firm name to search instead of / in addition to a person name.

## `state` (type: `string`):

Two-letter US state to filter results by the adviser's branch (e.g. NY, CA).

## `source` (type: `string`):

Which official register to query: brokercheck (FINRA) or iapd (SEC investment advisers).

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

Maximum adviser records to return.

## Actor input object example

```json
{
  "query": "Smith",
  "source": "brokercheck",
  "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": "Smith"
};

// Run the Actor and wait for it to finish
const run = await client.actor("nexgendata/finra-adviser-movement-tracker").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": "Smith" }

# Run the Actor and wait for it to finish
run = client.actor("nexgendata/finra-adviser-movement-tracker").call(run_input=run_input)

# Fetch and print Actor results from the run's dataset (if there are any)
print(f"💾 Check your data here: https://console.apify.com/storage/datasets/{run.default_dataset_id}")
for item in client.dataset(run.default_dataset_id).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": "Smith"
}' |
apify call nexgendata/finra-adviser-movement-tracker --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,nexgendata/finra-adviser-movement-tracker"
        }
    }
}

```

The hosted server signs you in with OAuth on first connect, so no API token belongs in this config. Clients without OAuth support can send an `Authorization: Bearer <APIFY_API_TOKEN>` header instead, using a token from API & Integrations in Apify Console (https://console.apify.com/settings/integrations).

## OpenAPI specification

Download the OpenAPI definition: https://api.apify.com/v2/actors/xz8UqYCxdbm456w9K/builds/T6o0J10aApwosK4kY/openapi.json