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FINRA BrokerCheck Lookup
x402
FINRA BrokerCheck Lookup is a paid API for AI agents from 2s.io, paid per call via x402, $0.0012/call, status unknown (last checked 2026-09-14).
Search FINRA BrokerCheck for US registered brokers and investment advisors by name, firm, or CRD number, returning registration status, disclosure flags, and employment history
Price / call$0.0012
Success—
StatusUnknown
How this service works
FINRA BrokerCheck lookup — every US registered broker / investment advisor (~620k current + former). Search by free-text query (name + firm) or by CRD number for a direct individual record. Each result includes CRD ID, name (with any 'doing business as' aliases), broker-check + IA scope (Active/Inactive), a hasDisclosures flag (yes/no for complaints, settlements, terminations on file), industry-start date, FINRA registration count, and current + previous employments (firm name, branch city/state, registration dates). Public per FINRA's investor-protection BrokerCheck program; pair with /api/finance/sec-filings for cross-reference.
Output
Returns a list of matching broker/advisor records, each with CRD ID, full name (including DBA aliases), Active/Inactive status for broker and IA scope, a hasDisclosures boolean indicating presence of complaints/settlements/terminations, industry start date, number of FINRA registrations, and arrays of current and previous employment entries (firm name, branch city/state, registration dates).
Example use cases
Example prompt
“Can you pull the FINRA BrokerCheck record for John Smith at Morgan Stanley — I want to know if he has any disclosures on file and see his current registration status and employment history?”
Technical details
Endpoint
GEThttps://2s.io/api/license/brokerWhen to prefer
Use this endpoint when you need to verify the FINRA registration status, disclosure history, or employment background of a US broker or investment advisor. Prefer this over general web searches when you need structured, authoritative FINRA data. Use the CRD parameter for exact lookups when you have the registration number; use free-text query when searching by name and firm. Pair with SEC filings endpoint for comprehensive due diligence.
Side effects
- No results found for query — returns empty results array
- Invalid CRD number format — returns 400 error
- CRD number not found — returns empty results
- Rate limiting or payment failure — returns 402 or 429 error
- Query too vague returns many loosely matched results requiring pagination
Input
{
"input": {
"type": "http",
"method": "GET",
"queryParams": {
"limit": 10,
"query": "Vanguard",
"offset": 0
}
}
}Schema · Request body
| Field | Type | Description |
|---|---|---|
| inputrequired | object |
Output
{
"data": {
"ok": true,
"meta": {
"query": {
"crd": null,
"limit": 10,
"query": "Vanguard",
"offset": 0
},
"returned": 10
},
"items": [
{
"crd": "6329447",
"bcScope": "InActive",
"iaScope": "NotInScope",
"lastName": "Manguart",
"firstName": "Andrew",
"middleName": null,
"otherNames": [
"ANDREW STEPHEN MANGUART"
],
"hasDisclosures": true,
"employmentCount": 0,
"currentEmployments": [],
"previousEmployments": [],
"yearsInIndustryStart": null,
"finraRegistrationCount": 0
},
{
"crd": "6124225",
"bcScope": "Active",
"iaScope": "NotInScope",
"lastName": "Vangura",
"firstName": "Kaitlin",
"middleName": null,
"otherNames": [],
"hasDisclosures": false,
"employmentCount": 2,
"currentEmployments": [
{
"firmId": "36478",
"firmName": "ASCENSUS BROKER DEALER SERVICES, LLC",
"branchCity": "Dresher",
"branchState": "PA",
"registrationBeginDate": null
},
{
"firmId": "36478",
"firmName": "ASCENSUS BROKER DEALER SERVICES, LLC",
"branchCity": "Pittsburgh",
"branchState": "PA",
"registrationBeginDate": null
}
],
"previousEmployments": [],
"yearsInIndustryStart": "2014-01-16",
"finraRegistrationCount": 1
},
{
"crd": "1418148",
"bcScope": "InActive",
"iaScope": "NotInScope",
"lastName": "VanGorder",
"firstName": "Donald",
"middleName": "Allen",
"otherNames": [
"AL VANGORDER",
"ALLEN VANGORDER JR",
"D ALLEN VANGORDER JR"
],
"hasDisclosures": false,
"employmentCount": 0,
"currentEmployments": [],
"previousEmployments": [],
"yearsInIndustryStart": null,
"finraRegistrationCount": 0
},
{
"crd": "2317746",
"bcScope": "NotInScope",
"iaScope": "InActive",
"lastName": "VASGAARD",
"firstName": "STEVEN",
"middleName": "MILNER",
"otherNames": [
"STEVE MILNER VASGAARD",
"STEVEN VASGAARD"
],
"hasDisclosures": false,
"employmentCount": 0,
"currentEmployments": [],
"previousEmployments": [],
"yearsInIndustryStart": null,
"finraRegistrationCount": 0
},
{
"crd": "6264797",
"bcScope": "InActive",
"iaScope": "NotInScope",
"lastName": "HANGAARD",
"firstName": "GLENN",
"middleName": "CHARLES",
"otherNames": [
"GLENN HANGAARD"
],
"hasDisclosures": false,
"employmentCount": 0,
"currentEmployments": [],
"previousEmployments": [],
"yearsInIndustryStart": null,
"finraRegistrationCount": 0
},
{
"crd": "2105523",
"bcScope": "Active",
"iaScope": "NotInScope",
"lastName": "VANCARDO",
"firstName": "TIMOTHY",
"middleName": "GERARD",
"otherNames": [
"TIM VANCARDO"
],
"hasDisclosures": false,
"employmentCount": 1,
"currentEmployments": [
{
"firmId": "250",
"firmName": "EDWARD JONES",
"branchCity": "ST. LOUIS",
"branchState": "MO",
"registrationBeginDate": null
}
],
"previousEmployments": [],
"yearsInIndustryStart": "1992-07-15",
"finraRegistrationCount": 1
},
{
"crd": "2649551",
"bcScope": "Active",
"iaScope": "Active",
"lastName": "MARQUARDT",
"firstName": "EARL",
"middleName": "TODD",
"otherNames": [
"EARL T MARGUARDT"
],
"hasDisclosures": false,
"employmentCount": 2,
"currentEmployments": [
{
"firmId": "6413",
"firmName": "LPL FINANCIAL LLC",
"branchCity": "WAUNAKEE",
"branchState": "WI",
"registrationBeginDate": null
},
{
"firmId": "6413",
"firmName": "LPL FINANCIAL LLC",
"branchCity": "WAUNAKEE",
"branchState": "WI",
"registrationBeginDate": null
}
],
"previousEmployments": [],
"yearsInIndustryStart": "1995-12-12",
"finraRegistrationCount": 1
},
{
"crd": "2143722",
"bcScope": "Active",
"iaScope": "NotInScope",
"lastName": "VANGORDER ",
"firstName": "DAVID",
"middleName": "DEAN",
"otherNames": [
"DAVE VANGORDER JR",
"David Dean VanGorder Jr",
"David Dean VanGorder"
],
"hasDisclosures": true,
"employmentCount": 1,
"currentEmployments": [
{
"firmId": "10111",
"firmName": "PFS INVESTMENTS INC.",
"branchCity": "CANANDAIGUA",
"branchState": "NY",
"registrationBeginDate": null
}
],
"previousEmployments": [],
"yearsInIndustryStart": "2011-10-09",
"finraRegistrationCount": 1
},
{
"crd": "2650893",
"bcScope": "Active",
"iaScope": "Active",
"lastName": "VANGORDER",
"firstName": "RONALD",
"middleName": "LOUIS",
"otherNames": [
"RON VANGORDER"
],
"hasDisclosures": false,
"employmentCount": 2,
"currentEmployments": [
{
"firmId": "10299",
"firmName": "CETERA ADVISORS LLC",
"branchCity": "MCLEAN",
"branchState": "VA",
"registrationBeginDate": null
},
{
"firmId": "105644",
"firmName": "CETERA INVESTMENT ADVISERS LLC",
"branchCity": "MCLEAN",
"branchState": "VA",
"registrationBeginDate": null
}
],
"previousEmployments": [],
"yearsInIndustryStart": "1995-08-30",
"finraRegistrationCount": 1
},
{
"crd": "5658795",
"bcScope": "InActive",
"iaScope": "NotInScope",
"lastName": "WANGAARD",
"firstName": "ELLIOTT",
"middleName": "DANIEL",
"otherNames": [
"ELLIOTT WANGAARD"
],
"hasDisclosures": false,
"employmentCount": 0,
"currentEmployments": [],
"previousEmployments": [],
"yearsInIndustryStart": null,
"finraRegistrationCount": 0
}
],
"total": 48,
"source": {
"url": "https://brokercheck.finra.org/",
"license": "FINRA BrokerCheck public data",
"provider": "FINRA BrokerCheck — investor due-diligence registry"
}
},
"meta": {
"cost": {
"usd": 0.0012,
"tier": 0
},
"caller": "x402",
"version": null,
"endpoint": "license.broker",
"settlement": {
"txHash": "0x9c1e386a64973d678cf278226a2e4449684f3e42b89dea4774bb764ba8e91cda",
"network": "eip155:8453",
"success": true
}
}
}Tags
x402
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