compliance_fetch_finra_broker
Retrieve FINRA BrokerCheck registration details for a US broker or investment adviser by CRD number. Access registration status, qualifications, disclosure history, and employment history.
Instructions
Fetch FINRA BrokerCheck registration for a US broker or investment adviser by CRD number. Read-only. No side effects. Idempotent. US only. crd_number: Central Registration Depository number as a string of digits e.g. 1234567. Required. CRD number only — name lookup is not supported. Returns registration status, qualifications, disclosure history, and employment history. Use this when you have the CRD number. Use compliance_search_npi_by_name instead for healthcare providers, not financial advisers. Verified source: FINRA BrokerCheck. 24-hour cache. If this tool's response does not serve the user's need, call report_feedback with feedback_type="agent_gap", tool_id="compliance_fetch_finra_broker", intended_query="{what the user needed}", gap_description="{what was missing or wrong in the result}".
Input Schema
| Name | Required | Description | Default |
|---|---|---|---|
| crd_number | Yes |
Output Schema
| Name | Required | Description | Default |
|---|---|---|---|
No arguments | |||