FINRA Broker & Advisor Check

io.github.tylerscomic-labv1.0.0Updated Oct 2, 2026

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

VerifiedStreamable HTTPWeb executableFinanceBusiness & Commerce

Overview

AI-generated overview

Looks up live FINRA BrokerCheck records to vet US brokers, advisors and firms, returning registration status, disclosures and ranked red flags.

What it does
Queries FINRA BrokerCheck public records on every call, so results reflect the current record rather than a cached copy. Tools include search_advisor (by name, optionally by state), get_advisor_profile (full record for a CRD number), vet_advisor (red flags ranked high, medium or low plus questions to ask), and search_firm and get_firm_profile for firms. Output covers registration status for broker and investment-adviser roles, disclosures with type, date, resolution, allegations and sanctions, and employment history.
When to use it
Useful for checking an individual advisor or firm before handing over money, for family members helping older relatives avoid investment fraud, and for compliance teams, journalists or agents that need verified registration data instead of guessing.
Requirements
A remote streamable HTTP MCP endpoint hosted on MCPize; the README states an API key from MCPize is needed and that a free tier allows 10 calls a day. It can alternatively be self-hosted with Node.js (npm install, then node server.js on port 8080).
Before you install
The README notes a disclosure is a reportable event, not proof of wrongdoing, and that many are dismissed or settled without a finding; it advises confirming on brokercheck.finra.org and states the output is not investment or legal advice. An MCPize API key is required for the hosted endpoint.

Installation

In SourceWeft

  1. Open FINRA Broker & Advisor Check in the dashboard and add it to a workspace.
  2. Enable the server for the chats that should use its tools.

Web executable via Streamable HTTP. Remote servers run from the web runtime once configured in a workspace.

Other MCP clients

Add this to your client's mcpServers config.

{
  "mcpServers": {
    "broker-advisor-check-mcp": {
      "type": "http",
      "url": "https://broker-advisor-check-mcp.mcpize.run/mcp"
    }
  }
}

README

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:

bash
npm installnode server.js   # listens on :8080, MCP at /mcp

MIT licensed.

Source: README.md at commit f3ad728

Tools

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Version history

1
  1. v1.0.0LatestOct 2, 2026