About FINRA Broker & Advisor Check
FINRA Broker & Advisor Check is an MCP server for individuals, compliance teams, journalists, and agents checking US advisors and firms. It retrieves live BrokerCheck records and turns disclosures into ranked red flags and questions to ask.
Key features
- 01Live FINRA BrokerCheck lookups
- 02Advisor search by name and state
- 03Full profiles by CRD number
- 04Firm search and profiles
- 05Ranked red flags and follow-up questions
Use cases
- 01Check an advisor before investing
- 02Review a firm's public record
- 03Help protect older relatives from fraud
- 04Verify registration data for reporting or compliance
MCP support
Exposes advisor and firm search, profile, and vetting tools to MCP clients. It can run as a remote MCP endpoint or locally at /mcp.
Configuration
Remote servers need no local install. Pick your client, then copy the config or install in one click.
https://broker-advisor-check-mcp.mcpize.run/mcpclaude mcp add --transport http tylerscomic-lab-broker-advisor-check https://broker-advisor-check-mcp.mcpize.run/mcp{"mcpServers":{"tylerscomic-lab-broker-advisor-check":{"type":"http","url":"https://broker-advisor-check-mcp.mcpize.run/mcp"}}}Open in Cursor{"servers":{"tylerscomic-lab-broker-advisor-check":{"type":"http","url":"https://broker-advisor-check-mcp.mcpize.run/mcp"}}}Open in VS Code{"mcpServers":{"tylerscomic-lab-broker-advisor-check":{"type":"http","url":"https://broker-advisor-check-mcp.mcpize.run/mcp"}}}{"mcpServers":{"tylerscomic-lab-broker-advisor-check":{"serverUrl":"https://broker-advisor-check-mcp.mcpize.run/mcp"}}}Run commands in a terminal; paste JSON into the client’s MCP config and restart. Servers that need sign-in will prompt on first connect.
Tools
Details
From the project READMEFINRA 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_firmandget_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.
Comments
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