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FINRA Broker & Advisor Check

Registre officiel Autres

Vet US financial advisors and firms from live FINRA BrokerCheck records with ranked red flags.

Code source Documentation

Que pouvez-vous faire avec FINRA Broker & Advisor Check ?

  • 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.

Installation

Ajoutez ceci à la configuration MCP de votre client (Claude Desktop : claude_desktop_config.json ; Cursor : .cursor/mcp.json ; VS Code et les autres utilisent la même forme « mcpServers »).

Remote (streamable-http)
Claude Code 
claude mcp add --transport http finra-broker-advisor-check 'https://broker-advisor-check-mcp.mcpize.run/mcp'
Configuration JSON (Claude Desktop, Cursor, VS Code) 
{
    "mcpServers": {
        "finra-broker-advisor-check": {
            "type": "http",
            "url": "https://broker-advisor-check-mcp.mcpize.run/mcp"
        }
    }
}

Documentation

Tirée du README du projet sur GitHub, actualisée chaque semaine. Les liens ouvrent GitHub.

Sommaire
  1. FINRA Broker & Advisor Check
  2. Check an advisor before you trust them with money
  3. What you get
  4. Tools
  5. Good for
  6. Use it

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.

Questions fréquentes

Qu'est-ce que FINRA Broker & Advisor Check ?

Vet US financial advisors and firms from live FINRA BrokerCheck records with ranked red flags.

Comment installer FINRA Broker & Advisor Check ?

Il fonctionne comme serveur distant. Dans Claude Code : claude mcp add --transport http finra-broker-advisor-check 'https://broker-advisor-check-mcp.mcpize.run/mcp'. Pour les autres clients, collez la configuration JSON de cette page dans leurs réglages MCP.

Faut-il une clé API pour FINRA Broker & Advisor Check ?

Son entrée au registre n'indique aucune clé ni secret obligatoire. Certaines fonctions peuvent tout de même demander un compte auprès du service auquel il se connecte.

FINRA Broker & Advisor Check est-il open source ?

Oui. Son code est sur GitHub sous licence MIT.

Qui maintient FINRA Broker & Advisor Check ?

Il est publié par tylerscomic-lab. AI.tn le référence sans le maintenir ni le recommander.

Issu du registre MCP officiel. Être listé n'est pas une recommandation : vérifiez le code et les permissions d'un serveur avant de lui donner accès à vos données.