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About Registration

The Registration API provides member firms access to their registration records as stored in the Central Registration Depository (CRD).

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Registered Individual

Registered individual information collected through Form U4 and Form U5.

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Branch

Branch office registration information collected via Form BR.

Available Datasets

The API platform utilizes the concept of datasets to deliver a variety of data via the Data Out API endpoints.

Basic information about all individuals currently and formerly employed by a firm.

Breakdown of registered individuals associated with each branch of a firm.

Continuing education status information for registered individuals.

Registration deficiency information for registered individuals including regulator identification.

Disclosure information for registered individuals including disclosure type.

List of employment records for registered individuals including detailed firm information and termination reason.

Detailed information about the examination status of a registered individual.

Detailed professional designation information for a registered individual..

Details of all registrations held by a registered individual.

Home address information for registered individuals.

Summary information about each branch associated with a firm.

Detailed information about each branch associated with a firm.

Location information for each branch associated with a firm.

Financial activities conducted at each branch associated with a firm.

Registration information for each branch.

List of individuals associated with a specific branch identified by a branch CRD number.

Disclosure filings for an registered individual.

Fingerprint details of Individuals in a Firm.

History of registration statuses for a registered individual.

Basic information about a firm.

Firm disclosure information.

Firm registration information

A complete listing of registration notices for a firm.

Basic information about all individuals formerly employed by a firm.

Branch information for all individuals formerly employed by a firm.

Employment information for all indivdiuals formely employed by a firm.

Registration information for all indivdiuals formely employed by a firm.

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Use Case

Use Case

Tracking CE Requirements

Is following-up with registered individuals, associated with your firm, that have a continuing education status of REQUIRED a dfficult, manual process? With the Registration API you can configure an API request to return the registration records of just those registered individuals, that have a CE Status of REQUIRED.

Production Access

NOTE: Registration data is ONLY available to FINRA member firms.

Once you are ready to move your integration with the FINRA API platform into production simply submit a Go Live support request via the Support page, or click the Get Production Access button shown here.

See the Terms and Conditions section below for additional requirements.

Request Production Access to the Registration API!

Please click on the button below to request access to the production Registration API.

Terms & Conditions

The registration API allows a member firm to only see data associated with that firm. An organization cannot lookup individuals who are not registered with their firm at this time.

 

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Frequently Asked Questions

The registration API allows you to only see data associated with your firm.

If  an API providing inter-firm individual data is an important use case for your firm, or for your customers that are FINRA member firms, we encourage you to submit feedback via the Support Center and select the API Candidate category for the ticket. Please provide as much detailed information on the use case as possible, including contact information, as this will help us prioritize new API candidates.

In order to access the production Registration API, API users will need to go through the production provisioning process defined here. As part of this process FINRA will verify that you are a FINRA member firm with an active WebEFT subscription. Contact the WebEFT team at: [email protected] for more information or to verify your subscription.

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