FINRA BrokerCheck firms (broker-dealers + registered investment advisers)

Name: FINRA BrokerCheck firms (broker-dealers + registered investment advisers)
Creator: FINRA / Financial Industry Regulatory Authority
License: https://creativecommons.org/publicdomain/zero/1.0/

Dataset · FINRA / Financial Industry Regulatory Authority · primary source ↗

13,285 broker-dealers and registered investment advisers (RIAs) indexed by FINRA. BrokerCheck is presented as a search-UI-only product at brokercheck.finra.org; the backing JSON API isn't documented anywhere. The disclosure_fl=Y flag is the regulatory red-flag tripwire that KYC vendors charge $50k+/yr for. 922 firms flagged.

Source agency

FINRA / Financial Industry Regulatory Authority

License

CC0 / US public domain

Coverage

13,285 firms (922 with disclosure events)

API endpoint

/api/v1/finra/firms/check

Keywords

FINRABrokerCheckbroker-dealerregistered investment adviserRIAregulatory disclosurefinancial advisor

Provenance

Every record in this dataset can be traced back to its primary source at https://brokercheck.finra.org/. Underlying content is a US federal government work (public domain under 17 USC §105); our derived data is licensed CC0 1.0.

For agents

JSON-LD: Accept: application/ld+json
API spec: /openapi.json
MCP tools that query this: see /mcp tools/list
Catalog: /datasets/