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Fintel Discovery — Financial Intelligence for AI Agents

by io.github.findimitrov
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Search FINRA BrokerCheck — Individuals

SearchBrokerCheck
Read-onlyIdempotent
    Search FINRA BrokerCheck for registered individual brokers and financial
    representatives by name. Returns CRD number, current firm, registration
    status, and whether the individual has any disclosures on record.

    Use this tool when:
    - You need to find the CRD number for a named advisor or rep
    - You want to verify registration status for a specific individual
    - You are enriching a rep record that is missing a CRD

    Geographic workflow: if you don't know the rep's name, first use
    SearchBrokersByPlace to discover firms in an area, then use
    SearchBrokerCheckFirm to find the firm's CRD, then use this tool
    to find individuals at that firm.

    Narrow results with the optional 'state' parameter (2-letter code).
    To get the full profile after finding a CRD, use GetBrokerCheckDetail.

    Source: FINRA BrokerCheck public API. No API key required.

Input Schema

TableJSON Schema
NameRequiredDescriptionDefault
paramsNo

Output Schema

TableJSON Schema
NameRequiredDescriptionDefault
resultYes

Schema Changelog

Changes observed during successful MCP inspections.

  1. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"f258bd16-f060-4e4a-a55d-221a0484866d"New value: +"05525087-35e9-4aac-b06d-6d88ce386b2e"
  2. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"5f4db44b-e5cc-4f3a-8da3-ac591a019c81"New value: +"f258bd16-f060-4e4a-a55d-221a0484866d"
  3. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"d9f77642-e017-4785-9150-e658c2dba3a0"New value: +"5f4db44b-e5cc-4f3a-8da3-ac591a019c81"
  4. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"dbe99169-c071-4ed4-9ae9-8bbfb9a88ad8"New value: +"d9f77642-e017-4785-9150-e658c2dba3a0"
  5. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"3775b46a-5aa8-4586-af57-2453c8bcd08c"New value: +"dbe99169-c071-4ed4-9ae9-8bbfb9a88ad8"
  6. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"d81a5175-11e9-494a-baa5-71d4ffad4ab9"New value: +"3775b46a-5aa8-4586-af57-2453c8bcd08c"
  7. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"9e7f8798-7d22-4378-b93d-179c6f8cb854"New value: +"d81a5175-11e9-494a-baa5-71d4ffad4ab9"
  8. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"9919ff85-e960-472f-863b-3de4c5abed9f"New value: +"9e7f8798-7d22-4378-b93d-179c6f8cb854"
  9. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"38452924-d5df-4668-b51c-d7cd5acabc09"New value: +"9919ff85-e960-472f-863b-3de4c5abed9f"
  10. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"fa72f604-6239-428b-81df-11f07c2c8d00"New value: +"38452924-d5df-4668-b51c-d7cd5acabc09"
  11. Changed1 schema field changed
    • changedInput schema / $defs / BrokerCheckIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"7b866f24-13ab-4e54-8d3a-f775612c393f"New value: +"fa72f604-6239-428b-81df-11f07c2c8d00"
  12. First observed

TDQS

A4.4/5.0
Behavior4/5

Does the description disclose side effects, auth requirements, rate limits, or destructive behavior?

Annotations already declare readOnly, idempotent, closed-world behavior, so the safety profile is covered. The description still adds useful non-annotation context: it is a public FINRA API requiring no key, and it returns disclosure flags. It does not mention rate limits or result caps (those live in the schema).

Agents need to know what a tool does to the world before calling it. Descriptions should go beyond structured annotations to explain consequences.

Conciseness4/5

Is the description appropriately sized, front-loaded, and free of redundancy?

Front-loaded purpose followed by a clean when-to-use bullet list and a workflow paragraph. Slightly long, and the geographic-workflow detour is arguably more than this tool needs, but every block is scannable and earns its place.

Shorter descriptions cost fewer tokens and are easier for agents to parse. Every sentence should earn its place.

Completeness5/5

Given the tool's complexity, does the description cover enough for an agent to succeed on first attempt?

An output schema exists so return values need not be spelled out, and the description covers intent, alternatives, workflow chaining, and the data source. An agent has everything needed to select and invoke this tool correctly.

Complex tools with many parameters or behaviors need more documentation. Simple tools need less. This dimension scales expectations accordingly.

Parameters3/5

Does the description clarify parameter syntax, constraints, interactions, or defaults beyond what the schema provides?

Description surfaces two inputs (name and optional two-letter 'state' narrowing), but the tool exposes far more parameters (rows/start pagination, wholesaler_ids scoping, include_previous, source_resource_id cache reuse) that the description never touches. With reported schema coverage at 0%, the description compensates only partially.

Input schemas describe structure but not intent. Descriptions should explain non-obvious parameter relationships and valid value ranges.

Purpose5/5

Does the description clearly state what the tool does and how it differs from similar tools?

States a specific verb and resource ('Search FINRA BrokerCheck for registered individual brokers'), names the key returned fields (CRD number, firm, registration status, disclosures), and is clearly distinguishable from sibling SearchBrokerCheckFirm and SearchIAPDIndividual.

Agents choose between tools based on descriptions. A clear purpose with a specific verb and resource helps agents select the right tool.

Usage Guidelines5/5

Does the description explain when to use this tool, when not to, or what alternatives exist?

Provides an explicit 'Use this tool when' list, a fallback workflow that names sibling tools (SearchBrokersByPlace, SearchBrokerCheckFirm), and routes profile follow-ups to GetBrokerCheckDetail. Alternatives and their selecting conditions are all spelled out.

Agents often have multiple tools that could apply. Explicit usage guidance like "use X instead of Y when Z" prevents misuse.

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