Search FINRA BrokerCheck for broker-dealer firms by name. Returns firm CRD, registration status, city, state, and disclosure flag. Use this tool when: - You need the CRD number for a broker-dealer firm (e.g. UBS, Raymond James) - You want to distinguish between similarly named firms by location -...
Part of the Fintel Discovery — Financial Intelligence for AI Agents server.
Free to start. No card required.
AI agents call SearchBrokerCheckFirm 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 SearchBrokerCheckFirm 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": {
"SearchBrokerCheckFirm": {}
}
}See the full Fintel Discovery — Financial Intelligence for AI Agents policy for all 32 tools.
These attack patterns abuse exactly the kind of access SearchBrokerCheckFirm 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 broker-dealer firms by name. Returns firm CRD, registration status, city, state, and disclosure flag. Use this tool when: - You need the CRD number for a broker-dealer firm (e.g. UBS, Raymond James) - You want to distinguish between similarly named firms by location - You are building a territory map of BD firms in a state 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 SearchBrokerCheckFirm: 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.
SearchBrokerCheckFirm 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 SearchBrokerCheckFirm 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 SearchBrokerCheckFirm. 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.
SearchBrokerCheckFirm 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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