/finra/individuals

POST /api/finra/individuals

Price: 1 credit

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

How to use it

Get the full FINRA BrokerCheck profile of a broker or investment adviser by their CRD number. Returns name and other names, industry entry date, broker-check and investment-adviser scopes, current and previous employments with firms and branch offices, regulatory/civil/criminal disclosures with allegations, sanctions and criminal charges, permanent bar status, exams taken, registration counts, registered states and self-regulatory organizations.

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 broker or investment adviser (examples: "316687", "6808119")
• include_previous boolean — Include previous employments and registration history (default: true)

Response

• @type string (default: "FinraIndividual")
• 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
• industry_entry_at integer nullable
• is_permanently_barred boolean nullable
• sanctions array (default: [])
  • @type string (default: "FinraSanction")
  • category string nullable
  • regulator string nullable
  • messages array (default: [])
  • capacities array (default: [])
  • detail array (default: [])
• current_employments array (default: [])
  • @type string (default: "FinraEmployment")
  • firm_id integer nullable
  • firm_name string nullable
  • is_ia_only boolean nullable
  • bd_sec_number string nullable
  • ia_sec_number string nullable
  • city string nullable
  • state string nullable
  • registration_begin_at integer nullable
  • registration_end_at integer nullable
  • firm_bc_scope string nullable
  • firm_ia_scope string nullable
  • branch_offices array (default: [])
    • @type string (default: "FinraBranchOffice")
    • branch_office_id string nullable
    • street1 string nullable
    • city string nullable
    • state string nullable
    • country string nullable
    • zip_code string nullable
    • latitude number nullable
    • longitude number nullable
    • is_located_at boolean nullable
    • is_supervised_from boolean nullable
    • is_private_residence boolean nullable
    • is_non_registered boolean nullable
• previous_employments array (default: [])
  • @type string (default: "FinraEmployment")
  • firm_id integer nullable
  • firm_name string nullable
  • is_ia_only boolean nullable
  • bd_sec_number string nullable
  • ia_sec_number string nullable
  • city string nullable
  • state string nullable
  • registration_begin_at integer nullable
  • registration_end_at integer nullable
  • firm_bc_scope string nullable
  • firm_ia_scope string nullable
  • branch_offices array (default: [])
    • @type string (default: "FinraBranchOffice")
    • branch_office_id string nullable
    • street1 string nullable
    • city string nullable
    • state string nullable
    • country string nullable
    • zip_code string nullable
    • latitude number nullable
    • longitude number nullable
    • is_located_at boolean nullable
    • is_supervised_from boolean nullable
    • is_private_residence boolean nullable
    • is_non_registered boolean nullable
• has_bc_disclosure boolean nullable
• has_ia_disclosure boolean nullable
• disclosures array (default: [])
  • @type string (default: "FinraDisclosure")
  • event_at integer nullable
  • disclosure_type string nullable
  • disclosure_resolution string nullable
  • initiated_by string nullable
  • allegations string nullable
  • resolution string nullable
  • docket_number string nullable
  • sanctions array (default: [])
    • @type string (default: "FinraSanctionDetail")
    • sanction string nullable
    • registration_capacities_affected string nullable
    • duration string nullable
    • start_at integer nullable
  • criminal_charges array (default: [])
    • @type string (default: "FinraCriminalCharge")
    • charge string required
    • disposition string nullable
• exams array (default: [])
  • @type string (default: "FinraExam")
  • exam_type string required
  • exam_category string nullable
  • exam_name string nullable
  • taken_at integer nullable
  • exam_scope string nullable
• state_exam_count integer nullable
• principal_exam_count integer nullable
• product_exam_count integer nullable
• approved_sro_registration_count integer nullable
• approved_finra_registration_count integer nullable
• approved_state_registration_count integer nullable
• approved_ia_state_registration_count integer nullable
• registered_states array (default: [])
  • @type string (default: "FinraRegisteredState")
  • state string required
  • reg_scope string nullable
  • status string nullable
  • registered_at integer nullable
• registered_sros array (default: [])
  • @type string (default: "FinraRegisteredSro")
  • sro string required
  • status string nullable
  • categories array (default: [])

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 individual 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.