FINRA Broker & Advisor Check

io.github.tylerscomic-labv1.0.0更新于 Oct 2, 2026

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

已验证Streamable HTTP可网页运行FinanceBusiness & Commerce

概览

AI 生成的概览

查询实时 FINRA BrokerCheck 记录，用于核查美国经纪人、投资顾问和公司，返回注册状态、披露记录和分级风险提示。

功能
每次调用都实时查询 FINRA BrokerCheck 公开记录，因此返回的是当前记录而非过期副本。工具包括 search_advisor（按姓名搜索，可选按州）、get_advisor_profile（按 CRD 编号获取完整记录）、vet_advisor（按高、中、低分级列出风险提示及可向对方提出的问题），以及针对公司的 search_firm 和 get_firm_profile。结果涵盖经纪人和投资顾问角色的注册状态、包含类型、日期、处理结果、指控和处罚的披露记录，以及从业经历。
适用场景
适合在把钱交给某位顾问或公司之前进行核查，也适合帮助年长亲属防范投资诈骗的家庭成员，以及需要经过核实的注册数据而非凭猜测行事的合规团队、记者或智能体。
运行要求
托管在 MCPize 上的远程 streamable HTTP MCP 端点；README 说明需要 MCPize 的 API 密钥，免费额度为每天 10 次调用。也可以自行托管，需要 Node.js（npm install，然后 node server.js，监听 8080 端口）。
安装前请注意
README 指出披露记录只是应报告事件，并不证明存在不当行为，许多记录被驳回或和解且未作出认定；建议在 brokercheck.finra.org 上再次确认，并声明结果不构成投资或法律建议。使用托管端点需要 MCPize 的 API 密钥。

安装

在 SourceWeft 中

  1. 打开 控制台中的 FINRA Broker & Advisor Check，将其添加到工作区。
  2. 为需要使用其工具的对话启用该服务。

Web executable，通过 Streamable HTTP。 远程服务在工作区中配置后即可从网页运行时运行。

其他 MCP 客户端

把它添加到你客户端的 mcpServers 配置中。

{
  "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.

来源：README.md，提交 f3ad728

工具

0
工具元数据尚未被收录。

版本历史

1
  1. v1.0.0最新Oct 2, 2026