/finra/individuals/search

POST /api/finra/individuals/search

Price: 5 credits

Search brokers and investment advisers on FINRA BrokerCheck by name and employer firm

How to use it

Search brokers and investment advisers on FINRA BrokerCheck. Query by individual name or CRD number, optionally filter by employer firm (name, CRD or SEC number). Returns summaries with name, scopes, disclosure and permanent-bar flags, registration counts and current employments. Use the individuals 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 — Individual name or CRD number to search for (examples: "john smith", "6808119"; minLength: 1)
• firm string nullable — Filter by employer firm name, CRD number or SEC number (examples: "vanguard", "merrill lynch")
• count integer required — Maximum number of results to return (min: 1)

Response

• @type string (default: "FinraIndividualSummary")
• crd integer required
• first_name string nullable
• middle_name string nullable
• last_name string nullable
• name_suffix string nullable
• other_names array (default: [])
• bc_scope string nullable
• ia_scope string nullable
• has_bc_disclosure boolean nullable
• has_ia_disclosure boolean nullable
• is_permanently_barred boolean nullable
• approved_finra_registration_count integer nullable
• employment_count integer nullable
• industry_days integer nullable
• industry_entry_at integer nullable
• current_employments array (default: [])
  • @type string (default: "FinraIndividualSummaryEmployment")
  • firm_id integer nullable
  • firm_name string nullable
  • branch_city string nullable
  • branch_state string nullable
  • branch_zip string nullable
  • is_ia_only boolean nullable
  • bd_sec_number string nullable
  • bd_full_sec_number string nullable
  • ia_sec_number string nullable
  • ia_full_sec_number string 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.