FINRA BrokerCheck Broker & Firm Registry Scraper

Here is one real result, an individual broker with full detail and the AI add-ons on, with every field the actor returns:

{
  "searchType": "individual",
  "crd": 4346806,
  "fullName": "JOHN T. SMITH",
  "firstName": "JOHN",
  "middleName": "T.",
  "lastName": "SMITH",
  "otherNames": ["JOHN T SMITH", "JOHN  SMITH", "John Thomas Smith"],
  "brokerActive": true,
  "investmentAdviserActive": true,
  "brokerScope": "Active",
  "investmentAdviserScope": "Active",
  "industrySinceDate": "4/30/2001",
  "currentFirmName": "FIDELITY BROKERAGE SERVICES LLC",
  "currentFirmCRD": 7784,
  "currentFirmSECNumber": "23292",
  "currentFirmCity": "SEATTLE",
  "currentFirmState": "WA",
  "currentFirmZip": null,
  "currentRegistrationBeginDate": "6/13/2023",
  "currentEmploymentsCount": 1,
  "previousEmploymentsCount": 4,
  "previousFirms": [
    "MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (1/25/2013 - 5/23/2023, ATLANTA GA)",
    "MORGAN STANLEY (1/15/2010 - 1/24/2013, SCOTTSDALE AZ)",
    "WELLS FARGO ADVISORS, LLC (5/9/2008 - 1/19/2010, WESTLAKE VILLAGE CA)",
    "UBS FINANCIAL SERVICES INC. (4/11/2001 - 5/21/2008, WESTLAKE VILLAGE CA)"
  ],
  "examsCount": null,
  "exams": ["Series 66 (5/11/2001)", "SIE (10/1/2018)", "Series 7 (4/10/2001)", "Series 10 (5/31/2016)", "Series 9 (4/6/2016)"],
  "registrationCount": null,
  "approvedFinraRegistrationCount": 1,
  "approvedSecRegistrationCount": null,
  "approvedStateRegistrationCount": null,
  "registeredStates": ["Massachusetts", "Texas", "Utah", "Washington"],
  "registeredStatesCount": 4,
  "registeredSROs": ["FINRA", "New York Stock Exchange"],
  "sroCategories": ["Full Registration/General Securities Representative", "General Securities Sales Supervisor"],
  "hasDisclosures": false,
  "disclosureCount": 0,
  "disclosureTypes": [],
  "topDisclosureType": null,
  "topDisclosureDate": null,
  "topDisclosureResolution": null,
  "disclosures": [],
  "sourceUrl": "https://brokercheck.finra.org/individual/summary/4346806",
  "source": "FINRA BrokerCheck",
  "inputQuery": "John Smith",
  "observedAt": "2026-08-14T06:47:12.146Z",
  "aiRiskLevel": "low",
  "aiRiskSummary": "There are no disclosures associated with John T. Smith, indicating a clean regulatory history. He has been active in the industry since 2001 with multiple previous employers.",
  "aiRiskFlags": [],
  "aiSummary": "John T. Smith is a registered broker with CRD number 4346806, currently affiliated with Fidelity Brokerage Services LLC. He has been active in the industry since April 30, 2001, and is registered in four states. Smith has no disclosures on his record.",
  "aiLeadScore": 85,
  "aiLeadTier": "hot",
  "aiLeadRationale": "Active broker with no disclosures and extensive experience makes for a strong outreach lead."
}

The most complete FINRA BrokerCheck scraper available. It returns every field the public BrokerCheck registry exposes for each broker or firm (CRD number, registrations, exams, employment history, registered states, and full disclosure/regulatory events), plus derived counts and flags, and optional AI risk screening, profile summaries, and lead scoring, and gives you a search grid with state, disclosure, and detail filters to target exactly the brokers or firms you need.

📥 Input · 📤 Output · 💰 Pricing · ▶️ Examples

Table of contents

• What it does
• Quickstart
• Input reference
• Output reference
• Example output record
• Run via API and CLI
• Fetch results
• Billing and limits
• FAQ and troubleshooting

What it does

The actor searches the public FINRA BrokerCheck registry for the individuals (brokers and investment advisers) or firms (brokerage and advisory) you list, applies the filters you pass, and writes one normalized record per match to the run's dataset. With fetchDetails on, each record carries the full profile: registration status and scope, exams passed, current and previous employment, registered states and SROs, and every disclosure or regulatory event with its type, date, and resolution. Derived fields (disclosureCount, hasDisclosures, registeredStatesCount, employment counts) let you sort and screen without extra parsing.

Three optional paid add-ons run on top: withRisk produces an AI risk/red-flag summary for KYB and onboarding, withProfileSummary writes a concise professional summary, and withLeadScore qualifies each record as a B2B outreach lead (0 to 100 with a hot/warm/cold tier). All add-ons are off by default. Missing source values are returned as null, never invented.

Quickstart

Open the actor, paste this into the input, and press Run. It returns up to 3 individual brokers named John Smith, with full detail, an AI risk summary, an AI profile summary, and a lead score.

{
  "searchType": "individual",
  "searchQueries": ["John Smith"],
  "maxRecords": 3,
  "fetchDetails": true,
  "withRisk": true,
  "withProfileSummary": true,
  "withLeadScore": true
}

To look up one exact record, pass a CRD number (for example "searchQueries": ["1731327"]). Set searchType to firm to search brokerage and advisory firms instead of individuals.

Input reference

Field	Type	Required	Default	Description
searchType	enum	no	individual	individual (brokers / advisers) or firm (brokerage / advisory firms).
searchQueries	string[]	no	["John Smith"]	One or more searches. Each item is a person or firm name (for example Goldman) or a CRD number (for example 1731327). Each runs as a separate search.
usState	string	no	(any)	Restrict results to a US state by two-letter code, for example NY, CA, TX.
includePrevious	boolean	no	true	Include individuals no longer actively registered (former brokers) in addition to active ones. Applies to individual searches.
onlyWithDisclosures	boolean	no	false	Return only brokers or firms with at least one disclosure/regulatory event on record. Useful for compliance, AML, and KYC screening.
fetchDetails	boolean	no	true	Fetch the full profile for each match (employment history, exams, registered states, full disclosure details). Turn off for faster, lighter summary-only results.
maxRecords	integer	no	30	Maximum broker or firm records returned across all searches. Free Apify plans are capped at 10.
withRisk	boolean	no	false	Paid add-on. AI summary of regulatory/disclosure red flags (risk level, summary, flags). Charged per record analysed. Paid plans only.
withProfileSummary	boolean	no	false	Paid add-on. AI concise professional summary of each broker/firm. Charged per record summarised. Paid plans only.
withLeadScore	boolean	no	false	Paid add-on. AI B2B lead qualification (0 to 100 score, hot/warm/cold tier, rationale). Charged per record scored. Paid plans only.

All fields are optional; with an empty input the actor searches individuals for the default query.

Output reference

One dataset item per broker or firm. searchType determines which field set is returned: individuals and firms share the identity, disclosure, and AI fields but differ in profile fields. Types: string, integer, boolean, string[], object[], or null when absent.

Common fields

Field	Type	Description
searchType	string	individual or firm.
crd	integer	CRD number, unique per broker or firm.
otherNames	string[]	Alternate or former names on record.
investmentAdviserActive	boolean	Whether active as an investment adviser, or null.
hasDisclosures	boolean	Whether any disclosure/regulatory event is on record.
disclosureCount	integer	Number of disclosures.
disclosureTypes	string[]	Distinct disclosure categories present.
disclosures	object[]	Full disclosure detail entries (with fetchDetails).
sourceUrl	string	BrokerCheck profile URL.
source	string	Always FINRA BrokerCheck.
inputQuery	string	The search query that produced this record.
observedAt	string	ISO 8601 collection timestamp.
aiRiskLevel	string	(add-on) low, medium, or high, or null.
aiRiskSummary	string	(add-on) AI red-flag summary, or null.
aiRiskFlags	string[]	(add-on) AI red flags, or empty.
aiSummary	string	(add-on) AI professional summary, or null.
aiLeadScore	integer	(add-on) Lead score 0 to 100, or null.
aiLeadTier	string	(add-on) hot, warm, or cold, or null.
aiLeadRationale	string	(add-on) One-line lead rationale, or null.

Individual-only fields

Field	Type	Description
fullName, firstName, middleName, lastName	string	Broker name parts.
brokerActive / brokerScope	boolean / string	Broker registration active flag and scope.
investmentAdviserScope	string	Adviser registration scope, for example Active.
industrySinceDate	string	Date first active in the industry.
currentFirmName / currentFirmCRD / currentFirmSECNumber	string / integer	Current firm identity.
currentFirmCity / currentFirmState / currentFirmZip	string	Current firm location.
currentRegistrationBeginDate	string	Start date at current firm.
currentEmploymentsCount / previousEmploymentsCount	integer	Employment counts.
previousFirms	string[]	Previous firms with date ranges and locations.
exams / examsCount	string[] / integer	Exams passed with dates.
registeredStates / registeredStatesCount	string[] / integer	States of registration.
registeredSROs / sroCategories	string[]	Self-regulatory orgs and registration categories.
topDisclosureType / topDisclosureDate / topDisclosureResolution	string	Summary of the most significant disclosure.

Firm-only fields

Field	Type	Description
firmName	string	Firm name.
brokerDealerActive / brokerDealerScope	boolean / string	Broker-dealer registration flag and scope.
firmType / firmStatus / firmStatusDate / firmSize	string	Firm classification and status.
formedState / formedDate	string	Formation state and date.
bdSecNumber / iaSecNumber	string	SEC numbers for broker-dealer and adviser.
addressStreet1 / addressStreet2 / addressCity / addressState / addressZip / addressCountry	string	Main business address.
businessPhone	string	Business phone, or null.
branchesCount	integer	Number of branch offices.
directOwners / directOwnersCount	object[] / integer	Direct owners on record.

On a failed run, a single item with a populated error field is written instead.

Example output record

Real firm record from a live run (input {"searchQueries":["Fidelity"],"searchType":"firm","maxRecords":2,"fetchDetails":true,"withRisk":true}):

{
  "searchType": "firm",
  "crd": 166782,
  "firmName": "FIDELITY SELECTCO, LLC",
  "otherNames": ["FIDELITY SELECTCO, LLC"],
  "brokerDealerActive": null,
  "investmentAdviserActive": true,
  "brokerDealerScope": null,
  "investmentAdviserScope": "INACTIVE",
  "firmType": null,
  "firmStatus": null,
  "iaSecNumber": "801-77635",
  "addressStreet1": "6501 S FIDDLER'S GREEN CIRCLE, STE 300 - 600",
  "addressStreet2": "SUITE 600",
  "addressCity": "GREENWOOD VILLAGE",
  "addressState": "CO",
  "addressZip": "80111",
  "addressCountry": "United States",
  "businessPhone": null,
  "branchesCount": 0,
  "registeredStates": [],
  "registeredStatesCount": 0,
  "hasDisclosures": true,
  "disclosureCount": 0,
  "disclosureTypes": [],
  "directOwnersCount": 0,
  "directOwners": [],
  "sourceUrl": "https://brokercheck.finra.org/firm/summary/166782",
  "source": "FINRA BrokerCheck",
  "inputQuery": "Fidelity",
  "observedAt": "2026-08-14T06:47:51.086Z",
  "aiRiskLevel": "low",
  "aiRiskSummary": "FIDELITY SELECTCO, LLC has no disclosures, indicating a clean regulatory history. The firm is currently active as an investment adviser.",
  "aiRiskFlags": [],
  "aiSummary": null,
  "aiLeadScore": null,
  "aiLeadTier": null,
  "aiLeadRationale": null
}

Run via API and CLI

Start a run and wait for it to finish, then read the dataset. Replace <TOKEN> with your Apify API token.

Run synchronously and get dataset items in one call:

curl -X POST "https://api.apify.com/v2/acts/scrapers_lat~finra-brokercheck-scraper/run-sync-get-dataset-items?token=<TOKEN>" \
  -H "Content-Type: application/json" \
  -d '{"searchType":"individual","searchQueries":["John Smith"],"usState":"NY","maxRecords":25,"fetchDetails":true}'

Start a run asynchronously:

curl -X POST "https://api.apify.com/v2/acts/scrapers_lat~finra-brokercheck-scraper/runs?token=<TOKEN>" \
  -H "Content-Type: application/json" \
  -d '{"searchType":"firm","searchQueries":["Goldman"],"onlyWithDisclosures":true,"maxRecords":100}'

Apify CLI:

apify call scrapers_lat/finra-brokercheck-scraper \
  --input '{"searchQueries":["1731327"],"fetchDetails":true}'

Fetch results

Every run writes to a dataset. Fetch items as JSON, CSV, or Excel by changing format:

# JSON
curl "https://api.apify.com/v2/datasets/<DATASET_ID>/items?token=<TOKEN>&clean=true&format=json"

# CSV
curl "https://api.apify.com/v2/datasets/<DATASET_ID>/items?token=<TOKEN>&clean=true&format=csv"

# Paginate large datasets
curl "https://api.apify.com/v2/datasets/<DATASET_ID>/items?token=<TOKEN>&offset=1000&limit=1000"

<DATASET_ID> is returned as defaultDatasetId in the run object. Use offset and limit to page through large result sets. clean=true drops empty and internal fields.

Billing and limits

• Pay per result. You are charged per broker or firm record returned (result event). See the pricing tab for the current per-result price.
• Details and add-ons billed separately. fetchDetails charges an extra details event per record; the AI risk, profile summary, and lead score add-ons each charge per record processed, and only on usable AI output.
• No charge on failure. If a run errors, the actor writes a single item with a populated error field and does not charge for it. Empty runs cost nothing.
• Spend cap respected. Set maxTotalChargeUsd on the run; once reached, the actor stops emitting and charging further billable results.
• Free Apify plans are capped at 10 records per run. The AI add-ons require a paid Apify plan. Upgrade for higher maxRecords.

FAQ and troubleshooting

How do I look up one exact broker or firm? Pass its CRD number in searchQueries, for example ["1731327"]. CRD numbers resolve directly to a single record.

How do I screen only for brokers with regulatory issues? Set onlyWithDisclosures to true. Combine with withRisk to get an AI red-flag summary per record.

What is the difference between an individual and a firm search? searchType: individual returns brokers and investment advisers (people); searchType: firm returns brokerage and advisory firms. The two return different profile fields, as shown above.

Do I need fetchDetails? Leave it on for the full profile (employment, exams, states, disclosures). Turn it off for a faster, lighter run with summary fields only.

A run returned 0 records. Why? The name or CRD matched nothing under the chosen searchType, or the usState / onlyWithDisclosures filters excluded every match. Loosen filters and confirm the query. Zero-result runs are not charged.

Is this an official FINRA tool? No. This actor is independent and has no affiliation with FINRA. It reads only data that is publicly available through FINRA BrokerCheck. Use it in accordance with FINRA's terms.

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Independent tool, not affiliated with FINRA. Accesses only publicly available BrokerCheck data. Use in accordance with FINRA's terms of service.