/finra/firms/search

POST /api/finra/firms/search

Price: 5 credits

Search broker-dealer and investment adviser firms on FINRA BrokerCheck by name and location

How to use it

Search broker-dealer and investment adviser firms on FINRA BrokerCheck. Query by firm name, CRD number or SEC number, optionally filter by office state and city. Returns summaries with firm names, scopes, SEC numbers, disclosure flags, branch counts and office addresses. Use the firms endpoint with a returned CRD for the full profile.

Parameters

• access-token string required

Request body

• timeout integer — Max scrapping execution timeout (in seconds) (default: 300; min: 20; max: 1500)
• query string required — Firm name, CRD number or SEC number to search for (examples: "vanguard", "fisher investments"; minLength: 1)
• state string nullable — Filter by office state code (examples: "PA", "TX", "NY")
• city string nullable — Filter by office city (most reliable when combined with state) (examples: "Plano")
• count integer required — Maximum number of results to return (min: 1)

Response

• @type string (default: "FinraFirmSummary")
• crd integer required
• firm_name string nullable
• ia_firm_name string nullable
• other_names array (default: [])
• bc_scope string nullable
• ia_scope string nullable
• bd_sec_number string nullable
• bd_full_sec_number string nullable
• ia_sec_number string nullable
• ia_full_sec_number string nullable
• has_bd_disclosure boolean nullable
• has_ia_disclosure boolean nullable
• approved_finra_registration_count integer nullable
• branch_count integer 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
• finra_last_approval_at 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 — The entity was not found, or a precondition failed 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.