FINRA Broker & Advisor Check

Look up and vet US financial advisors, brokers and firms from live FINRA BrokerCheck records: registration status, disclosures, employment history and plain-English red flags, plus questions to ask before you hand over money.

Check an advisor before you trust them with money

Pulls FINRA BrokerCheck public records live on every call, so the answer is today's record, not a stale copy. Search by name, then vet by CRD number.

What you get

• Registration status for broker and investment-adviser roles.
• Disclosures with type, date, resolution, allegations and sanctions (regulatory, customer dispute, criminal, financial, termination).
• Employment history: current and previous firms, years in the industry, how often they move.
• Ranked red flags in plain English, plus questions to ask them directly.

Tools

• search_advisor: find an advisor by name, optionally by state.
• get_advisor_profile: the full public record for a CRD number.
• vet_advisor: red flags ranked high/medium/low and questions to ask.
• search_firm and get_firm_profile: the same for firms.

Good for

Individuals checking an advisor, family members protecting older relatives from investment fraud, compliance teams, journalists, and agents that need verified registration data instead of guessing.

A disclosure is a reportable event, not proof of wrongdoing, and many are dismissed or settled without a finding. Always confirm on brokercheck.finra.org. Not investment or legal advice.

Use it

Hosted on MCPize with a free tier (10 calls a day). Remote MCP endpoint (streamable HTTP, API key from MCPize):

https://broker-advisor-check-mcp.mcpize.run/mcp

Or run it yourself:

npm install
node server.js   # listens on :8080, MCP at /mcp

MIT licensed.