# FINRA BrokerCheck Search — Firm & Broker Records API (`nexgendata/finra-brokercheck-search`) Actor

Search FINRA BrokerCheck firm and broker records — registration, disclosures and status as clean JSON. For compliance and diligence agents.

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

## Pricing

from $50.00 / 1,000 broker 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

## FINRA BrokerCheck Search

Search FINRA BrokerCheck firm and broker records, parsed into clean JSON. Built for analysts, funds, fintech builders and AI agents. Factual public FINRA data — not financial or investment advice. Not affiliated with the U.S. SEC or FINRA.

### 📊 What you get

Clean JSON, one row per BrokerCheck record. Firm rows carry 10 fields, individual rows 11:

**Firm rows** — `type`, `crd_number`, `firm_name`, `firm_type` (Broker-Dealer / RIA / Both), `is_currently_registered`, `registration_status`, `main_office_state`, `disclosure_event_count`, `registered_states_count`, `source_url`, `scraped_at`

**Individual rows** — `type`, `crd_number`, `full_name`, `current_employments` (firm name, firm CRD, start date), `is_currently_registered`, `registration_status`, `years_in_industry`, `disclosure_event_count`, `exam_count`, `state_registrations_count`, `source_url`, `scraped_at`

Every row carries a direct **brokercheck.finra.org** source link so any figure can be verified in one click.

**Privacy by design:** no emails, phone numbers, street addresses, cities, ZIPs, dates of birth, or disclosure-event narratives are ever returned — location is state-level only, and status strings are FINRA's own factual values, never editorial labels. Runs are hard-capped at 100 records.

### 💵 Pricing

**$0.05 per record returned** (pay-per-event), plus **$0.005 per actor start** (per GB of run memory, minimum one). About **20 records per $1**. You pay only for records actually delivered — a run that finds no match, or that fails because BrokerCheck is unreachable, delivers no rows and charges no record events.

| Query | Records | Record cost |
|---|---|---|
| Single firm lookup | 1 | **$0.05** |
| Default run (`maxResults` 25) | 25 | **$1.25** |
| Full run at the hard cap | 100 | **$5.00** |

### ▶️ Input

| Field | Type | Required | Description |
|---|---|---|---|
| `query` | string | **Yes** | Firm name, broker name, or CRD number. |
| `searchType` | string | No | `firm`, `individual`, or `auto` (firm first, individuals only if no firm matched). |
| `maxResults` | integer | No | 1–100. Default 25. |

```json
{ "query": "Goldman Sachs", "searchType": "firm", "maxResults": 3 }
```

### ✅ Run outcomes

- **Records found** → they are pushed to the dataset and the status message states how many were delivered.
- **No match** (BrokerCheck answered, nothing matched) → the run **succeeds with 0 rows** and says so; nothing is charged.
- **Missing `query`** → the run **succeeds with 0 rows** and names the field; nothing is charged.
- **BrokerCheck blocked, rate-limited, down, or serving a bot-check page** → the run **fails** with the cause in the status message. It never ends green with an empty dataset.

### 🤖 Use with AI agents

Structured, source-linked FINRA registration data built for LLM and agent pipelines — point Claude, the OpenAI Agents SDK, an n8n flow or any MCP-aware client at it and pull firm and broker records on demand. Coverage matches FINRA's public BrokerCheck API.

**Sample agent prompt:**

```
Look up a brokerage firm on BrokerCheck and report its registration status, home state, and disclosure event count.
```

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

### ⏰ Run on a schedule

The recurring frame is the point — schedule a daily or weekly pull:

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

### 🔗 Related actors

**More compliance & oversight trackers:** [Comment Letter Monitor](https://apify.com/nexgendata/sec-comment-letter-monitor), [Form NT Late-Filing](https://apify.com/nexgendata/sec-form-nt-late-filing-tracker), [Litigation Releases](https://apify.com/nexgendata/sec-litigation-releases), [Fails-to-Deliver](https://apify.com/nexgendata/sec-fails-to-deliver-tracker)

**Agent front doors:** [SEC Corporate Events MCP](https://apify.com/nexgendata/sec-corporate-events-mcp), [Regulatory Filings MCP](https://apify.com/nexgendata/regulatory-filings-mcp)

***

*Data read from FINRA's public BrokerCheck API (brokercheck.finra.org). Factual public data — not financial or investment advice. Not affiliated with the U.S. SEC or FINRA.*

# 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(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": "Goldman Sachs",
  "searchType": "firm",
  "maxResults": 25
}' |
apify call nexgendata/finra-brokercheck-search --silent --output-dataset

```

## MCP server setup

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

```

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/ZAqGXZggHNLnYwVVa/builds/cedZtD7KJxVc2EHNu/openapi.json