Search FINRA BrokerCheck for registered individual brokers and financial representatives by name. Returns CRD number, current firm, registration status, and whether the individual has any disclosures on record. Use this tool when: - You need to find the CRD number for a named advisor or rep - You...
Part of the Fintel Discovery — Financial Intelligence for AI Agents server.
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AI agents call SearchBrokerCheck to retrieve information from Fintel Discovery — Financial Intelligence for AI Agents without modifying any data. This is common in research, monitoring, and reporting workflows where the agent needs context before taking action. Because read operations don't change state, they are generally safe to allow without restrictions -- but you may still want rate limits to control API costs.
Even though SearchBrokerCheck only reads data, uncontrolled read access can leak sensitive information or rack up API costs. An agent caught in a retry loop could make thousands of calls per minute. A rate limit gives you a safety net without blocking legitimate use.
Read-only tools are safe to allow by default. No rate limit needed unless you want to control costs.
{
"version": "1",
"default": "deny",
"tools": {
"SearchBrokerCheck": {}
}
}See the full Fintel Discovery — Financial Intelligence for AI Agents policy for all 32 tools.
These attack patterns abuse exactly the kind of access SearchBrokerCheck gives an agent. Each links to the full case and the policy that stops it:
Other read tools across the catalogue. The same approach applies to each: allow, with a rate cap to control cost.
Search FINRA BrokerCheck for registered individual brokers and financial representatives by name. Returns CRD number, current firm, registration status, and whether the individual has any disclosures on record. Use this tool when: - You need to find the CRD number for a named advisor or rep - You want to verify registration status for a specific individual - You are enriching a rep record that is missing a CRD Geographic workflow: if you don't know the rep's name, first use SearchBrokersByPlace to discover firms in an area, then use SearchBrokerCheckFirm to find the firm's CRD, then use this tool to find individuals at that firm. Narrow results with the optional 'state' parameter (2-letter code). To get the full profile after finding a CRD, use GetBrokerCheckDetail. Source: FINRA BrokerCheck public API. No API key required.. It is categorised as a Read tool in the Fintel Discovery — Financial Intelligence for AI Agents MCP Server, which means it retrieves data without modifying state.
Register the Fintel Discovery — Financial Intelligence for AI Agents MCP server in PolicyLayer and add a rule for SearchBrokerCheck: 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 Fintel Discovery — Financial Intelligence for AI Agents. Nothing to install.
SearchBrokerCheck 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 SearchBrokerCheck 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 SearchBrokerCheck. 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.
SearchBrokerCheck is provided by the Fintel Discovery — Financial Intelligence for AI Agents MCP server (https://ai.fin-discovery.com/mcp). PolicyLayer sits as a proxy in front of this server to enforce policies before tool calls reach the server.
Deterministic rules across all 32 Fintel Discovery — Financial Intelligence for AI Agents tools. Per-identity grants. Full audit log. Live in minutes. Nothing to install.
Free to start. No card required.
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