FINRA Broker & Advisor Check

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

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

已驗證Streamable HTTP可網頁執行FinanceBusiness & Commerce

概覽

AI 產生的概覽

查詢即時 FINRA BrokerCheck 紀錄，用來審查美國經紀人、投資顧問與公司，回傳註冊狀態、揭露紀錄與分級風險提示。

功能
每次呼叫都即時查詢 FINRA BrokerCheck 公開紀錄，因此回傳的是當下紀錄，而非過期副本。工具包括 search_advisor（依姓名搜尋，可選州別）、get_advisor_profile（依 CRD 編號取得完整紀錄）、vet_advisor（依高、中、低分級列出風險提示與可直接向對方提出的問題），以及針對公司的 search_firm 與 get_firm_profile。結果涵蓋經紀人與投資顧問角色的註冊狀態、包含類型、日期、處理結果、指控與處分的揭露紀錄，以及從業經歷。
適用情境
適合在把錢交給某位顧問或公司之前先行查核，也適合協助年長親屬防範投資詐騙的家庭成員，以及需要經過驗證的註冊資料而非憑猜測行事的合規團隊、記者或代理程式。
執行需求
託管於 MCPize 的遠端 streamable HTTP MCP 端點；README 說明需要 MCPize 的 API 金鑰，免費額度為每天 10 次呼叫。也可自行架設，需要 Node.js（npm install，接著 node server.js，監聽 8080 埠）。
安裝前請注意
README 指出揭露紀錄只是應報告事件，並不證明有不當行為，許多紀錄被駁回或和解且未作出認定；建議在 brokercheck.finra.org 上再次確認，並聲明結果不構成投資或法律建議。使用託管端點需要 MCPize 的 API 金鑰。

安裝

在 SourceWeft 中

  1. 開啟 儀表板中的 FINRA Broker & Advisor Check，將其新增到工作區。
  2. 為需要使用其工具的對話啟用該服務。

Web executable，透過 Streamable HTTP。 遠端服務在工作區中設定後即可從網頁執行環境執行。

其他 MCP 客戶端

把它新增到你客戶端的 mcpServers 設定中。

{
  "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.

來源：README.md，提交 f3ad728

工具

0
工具後設資料尚未被收錄。

版本歷史

1
  1. v1.0.0最新Oct 2, 2026