Professional add-on — USD $800/mo

FINRA BrokerCheck API

Broker and adviser disciplinary history from FINRA and SEC — CRD lookup, disclosures, enforcement actions

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What it does

Looks up a broker or financial adviser's disciplinary history across FINRA BrokerCheck and SEC enforcement actions in a single call. Returns registration status, disclosure events, employment history, and SEC actions — structured JSON, not a rendered webpage.

Quick example — look up by CRD number

import requests

resp = requests.get(
    "https://api.techcompass.com.au/v1/us/enforcement/finra/broker/4728166",
    headers={"Authorization": "ApiKey tc_live_<your_key>"}
)

record = resp.json()["data"]
print(record["registration_status"])        # "Approved"
print(record["disclosure_count"])           # 2
print(record["disclosures"][0]["type"])     # "Regulatory Action"

Search by name across both FINRA and SEC simultaneously: GET /v1/us/enforcement/search?q=<name>&type=individual

Which plan you need

Pro add on, USD $800/mo, or included in Professional+. USD only, not currently available as an AUD add on.

Use cases

Data sources

SEC EDGAR enforcement actions, administrative proceedings, litigation releases, trading suspensions
FINRA BrokerCheck, broker and adviser registration, disclosure events, employment history, qualifications

What you get back

Adviser lookup by name or CRD number, disclosure history including customer disputes, regulatory actions, criminal and financial disclosures, SEC enforcement action search by entity or individual name, employment and registration history as a timeline, and a source attributed response with FINRA record date, SEC action number, and retrieval timestamp.

Further reading

Frequently asked questions

How do I check if a financial adviser has FINRA disciplinary history via API?
A lookup by name or CRD number returns disclosure history directly from BrokerCheck data, rather than a manual search on FINRA's site.
What does a FINRA BrokerCheck API response include?
Registration status, disclosure events, employment history, and qualifications, structured rather than presented as a rendered web page.
How do I automate adviser due diligence for a registered investment adviser?
Disciplinary history and enforcement action checks can run as part of an existing onboarding or review workflow, logged automatically rather than performed and recorded by hand.
What SEC enforcement actions are available via API?
Administrative proceedings, litigation releases, and trading suspensions, searchable by entity or individual name.
How do wealth management platforms screen new advisers before onboarding?
Typically a combined FINRA and SEC check at the point of onboarding, then periodic rechecks, both of which this API supports through the same lookup.
Can I get FINRA BrokerCheck data without scraping the FINRA website?
Yes, the data is retrieved directly through the API under confirmed usage terms with FINRA, not scraped from the public site.
How do I build a broker screening workflow into my onboarding process?
A CRD or name lookup at the point of onboarding, with the result logged, is the core of the workflow, and slots into an existing onboarding system rather than requiring a separate tool.
What is the difference between a FINRA disclosure and an SEC enforcement action?
A FINRA disclosure is a reportable event on an individual's BrokerCheck record, an SEC enforcement action is a formal regulatory action, sometimes against an individual, sometimes against a firm. Both are relevant to due diligence and both are covered here.
How often is FINRA BrokerCheck data updated?
FINRA BrokerCheck data is refreshed to match FINRA's own publication schedule.
How do I meet FINRA Rule 3110 supervision requirements using automated data checks?
Automated pre hire and ongoing screening, with a logged record of each check, supports the supervision obligation, though the full requirement extends beyond any single data check.
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