/finra/firms

POST /api/finra/firms

Price: 1 credit

Get a broker-dealer or investment adviser firm from FINRA BrokerCheck by CRD number

How to use it

Get the full FINRA BrokerCheck profile of a broker-dealer or investment adviser firm by its CRD number. Returns firm name and other names, broker-check and investment-adviser scopes, firm type, size, status and regulator, office and mailing addresses, disclosure counts by type, registration counts, registered states and direct owners.

Parameters

• access-token string required

Request body

• timeout integer — Max scrapping execution timeout (in seconds) (default: 300; min: 20; max: 1500)
• crd string required — Central Registration Depository (CRD) number of the firm (examples: "7784", "107342")
• include_previous boolean — Include previous registration history (default: true)

Response

• @type string (default: "FinraFirm")
• crd integer required
• firm_name string nullable
• other_names array (default: [])
• bc_scope string nullable
• ia_scope string nullable
• is_legacy boolean nullable
• is_finra_registered boolean nullable
• is_ia_firm boolean nullable
• district_name string nullable
• firm_type string nullable
• firm_size string nullable
• firm_status string nullable
• regulator string nullable
• formed_state string nullable
• formed_at integer nullable
• firm_status_at integer nullable
• finra_last_approval_at integer nullable
• fiscal_month_end string nullable
• bd_sec_number string nullable
• ia_sec_number string nullable
• ia_sec_number_type string nullable
• crs_type string nullable
• office_address object nullable
  • @type string (default: "FinraAddress")
  • street1 string nullable
  • street2 string nullable
  • city string nullable
  • state string nullable
  • country string nullable
  • postal_code string nullable
• mailing_address object nullable
  • @type string (default: "FinraAddress")
  • street1 string nullable
  • street2 string nullable
  • city string nullable
  • state string nullable
  • country string nullable
  • postal_code string nullable
• business_phone string nullable
• has_bd_disclosure boolean nullable
• has_ia_disclosure boolean nullable
• disclosures array (default: [])
  • @type string (default: "FinraFirmDisclosureSummary")
  • disclosure_type string required
  • disclosure_count integer nullable
• approved_finra_registration_count integer nullable
• approved_sec_registration_count integer nullable
• approved_sro_registration_count integer nullable
• approved_state_registration_count integer nullable
• business_type_count integer nullable
• has_affiliation boolean nullable
• refer_other_bd boolean nullable
• registered_states array (default: [])
• direct_owners array (default: [])
  • @type string (default: "FinraDirectOwner")
  • legal_name string required
  • position string nullable
  • bc_scope string nullable
  • crd_number string nullable
• non_registered_affiliate_disclosure_count integer nullable

Errors

• 422 — The request body did not validate Check the fields against this schema. A URN with the wrong prefix is the most common cause.
• 408 — The request ran past its time limit Raise `timeout` in the request body, up to the maximum this endpoint documents. Lowering `count` or turning off the `with_*` flags also helps, because less work finishes sooner.
• 412 — No firm found for the given CRD number Retrying will not help: either the entity does not exist, or the input points at a different one.
• 429 — Too many requests: a rate limit or a usage window is exhausted When the response carries an X-Retry-After header, wait that many seconds and retry: the same number is in the body as `detail.retry_after`, and the limit clears once that window passes. The message in the body names the limit that was hit.
• 500 — Something broke on our side Retrying will not help. If it keeps happening, send us the X-Request-ID from the response headers.
• 529 — Rate limit reached, or the endpoint is overloaded Wait at least 30 seconds, then retry.

Response headers

• X-Error — Error message text (present only on error)
• X-Request-ID — Unique request identifier
• X-Execution-Time — Execution time in seconds
• X-Result-Count — How many records the body carries. 0 means an empty result, which is a normal answer and not by itself an error. A non-zero count can come back together with X-Error when the failure happened partway through — read this header and X-Error independently.
• X-Total-Available-Results — How many records exist for this query, when the endpoint can say. On a `dry_run` request this is the answer and the body is empty. It saturates: the endpoint's documented maximum means 'at least that many', any smaller number is exact.
• X-Warning — Present when the request body carried keys this endpoint does not document. They were ignored, so any filter you meant to apply through them did not apply. Check the spelling against this schema and retry.
• X-Retry-After — Seconds to wait before retrying. Present only on 429.