FINRA BrokerCheck — registered US brokers / investment advisors. Search by free-text query (name + firm) or by CRD number. Returns CRD, name + aliases, scopes, disclosure flag, industry-start date, current + previous employments.
AI agents call license.broker to retrieve information from Mcp without modifying anything — typically the context-gathering step in research, monitoring, and reporting workflows, before the agent takes action elsewhere.
This tool queries the FINRA BrokerCheck public registry and returns read-only information about registered brokers and investment advisors. It retrieves existing public data with no side effects. While it is part of a pay-per-call server, the tool itself does not move money or commit financial obligations — the financial settlement is the server's billing mechanism, not the tool's function.
From the tool's definition 'BrokerCheck — registered US brokers / investment advisors. Search by free-text query (name + firm) or by CRD number. Returns CRD, name + aliases, scopes, disclosure flag, industry-start date, current + previous employments.'
Attacks that exploit this kind of access
FINRA BrokerCheck — registered US brokers / investment advisors. Search by free-text query (name + firm) or by CRD number. Returns CRD, name + aliases, scopes, disclosure flag, industry-start date, current + previous employments. It is categorised as a Read tool in the Mcp MCP Server, which means it retrieves data without modifying state.
Register the MCP server in PolicyLayer and add a rule for license.broker: allow, deny, rate-limit, or require approval. Point your MCP client at the PolicyLayer proxy URL and the rule is enforced on every call, before it reaches Mcp. Nothing to install.
license.broker is a Read tool with low risk. Read-only tools are generally safe to allow by default.
Yes. Add a rate_limit block to the license.broker rule in your PolicyLayer policy. For example, setting max: 10 and window: 60 limits the tool to 10 calls per minute. Rate limits are tracked per agent session and reset automatically.
Set action: deny in the PolicyLayer policy for license.broker. The AI agent will receive a policy violation error and cannot call the tool. You can also include a reason field to explain why the tool is blocked.
license.broker is provided by the MCP server (@2sio/mcp). PolicyLayer sits as a proxy in front of this server to enforce policies before tool calls reach the server.
Every MCP server has a record like this.
Type a name, get the same breakdown: verified identity, auth posture, risk grade, capabilities, recommended policy.
Teams ship this data inside their own products. See what a licence covers →