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FINRA Broker & Advisor Check

Official registry Other

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

Source code Documentation

What can you do with 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.

Install

Add this to your client's MCP configuration (Claude Desktop: claude_desktop_config.json; Cursor: .cursor/mcp.json; VS Code and others use the same "mcpServers" shape).

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

Documentation

From the project's README on GitHub, refreshed weekly. Links open on GitHub.

Contents
  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.

Frequently asked questions

What is FINRA Broker & Advisor Check?

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

How do I install FINRA Broker & Advisor Check?

It runs as a remote server. In Claude Code: claude mcp add --transport http finra-broker-advisor-check 'https://broker-advisor-check-mcp.mcpize.run/mcp'. For other clients, paste the JSON configuration from this page into their MCP settings.

Does FINRA Broker & Advisor Check need an API key?

Its registry entry lists no required key or secret. Some features may still need an account with the service it connects to.

Is FINRA Broker & Advisor Check open source?

Yes. Its code is on GitHub under the MIT license.

Who maintains FINRA Broker & Advisor Check?

It is published by tylerscomic-lab. AI.tn lists it but does not maintain or endorse it.

From the official MCP Registry. Listing is not an endorsement: review a server's code and permissions before giving it access to your data.