FINRA Broker Search

GET/v1/financial/finra/brokers$0.01 per call

Search FINRA BrokerCheck for registered brokers.

Parameters

Name	In	Type
nameoptional	query	string
crdoptional	query	string
firmoptional	query	string

Response fields

Field	Type	Description
success	boolean	e.g. `true`
query	string	e.g. `Goldman Sachs`
results	array
results[].crdNumber	string	e.g. `2019064567801`
results[].firstName	string	e.g. `GOLDMAN`
results[].lastName	string	e.g. `SACHS & CO. LLC`
results[].firmName	string	e.g. `Goldman Sachs & Co.`
results[].firmCrdNumber	string	e.g.
results[].registrationStatus	string	e.g. `FINAL`
results[].registeredStates	array
results[].disclosureCount	number	e.g. `1`
totalResults	number	e.g. `1`
dataSource	object
dataSource.name	string	e.g. `FINRA Disciplinary Actions (DB)`
dataSource.note	string	e.g. `1 action(s) from pipeline-synced data.`
meta	object
meta.dataSource	object
meta.dataSource.name	string	e.g. `FINRA Disciplinary Actions (DB)`
meta.dataSource.provenance	string	e.g. `database`
meta.dataSource.note	string	e.g. `1 action(s) from pipeline-synced data.`

Fields are read from a real response captured 2026-11-04. Optional fields may be absent in other responses.

Errors

400 invalid request
401 missing or bad key
403 not in your plan
429 rate limited, see Retry-After
402 payment required
5xx retry with backoff

Error bodies and codes are described in Error codes and troubleshooting.

curl "https://api.compliancegrid.ai/v1/financial/finra/brokers?firm=Goldman+Sachs" \
  -H "Authorization: Bearer $CG_API_KEY"

Try it in the sandbox

Runs against sandbox.api.compliancegrid.ai with your own sandbox key, which stays in this browser. Sandbox responses are mock data. Get a free key.

Sandbox key

Remember for this tab

name (query)

crd (query)

firm (query)

Example response · captured from production 2026-11-04

{
  "success": true,
  "query": "Goldman Sachs",
  "results": [
    {
      "crdNumber": "2019064567801",
      "firstName": "GOLDMAN",
      "lastName": "SACHS & CO. LLC",
      "firmName": "Goldman Sachs & Co.",
      "firmCrdNumber": "",
      "registrationStatus": "FINAL",
      "registeredStates": [],
      "disclosureCount": 1
    }
  ],
  "totalResults": 1,
  "dataSource": {
    "name": "FINRA Disciplinary Actions (DB)",
    "note": "1 action(s) from pipeline-synced data."
  },
  "meta": {
    "dataSource": {
      "name": "FINRA Disciplinary Actions (DB)",
      "provenance": "database",
      "note": "1 action(s) from pipeline-synced data."
    }
  }
}