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Data sources

Plainadvisorcheck synthesizes data from these public-domain federal sources:

FINRA BrokerCheck firm search + detail API — api.brokercheck.finra.org/search/firm
SEC EDGAR full-text search — LIT-REL enforcement actions — efts.sec.gov/LATEST/search-index
U.S. Securities and Exchange Commission — sec.gov

PlainAdvisorCheck

Financial advisor and broker firm disciplinary intelligence from FINRA BrokerCheck public records and SEC enforcement actions.

Data from FINRA BrokerCheck and SEC EDGAR. Not investment advice. Verify all information at brokercheck.finra.org.

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PlainAdvisorCheck is an independent publisher of broker-dealer disciplinary data. It does not recommend firms or provide investment advice. Questions or a figure that looks wrong? Contact us or read our editorial & corrections policy.

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