companyName string | crd string | firstName string | lastName string | middleName string | otherNames list | bcScope string | iaScope string | hasDisclosures string | industryDays int64 | approvedRegistrationsCount int64 | employmentsCount int64 | city string | state string | zipCode string | firmId string | firmBdSecNumber string | firmIaSecNumber string | isIaOnly string | scrapedAt string | _run_id string | _dataset_id string |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
INVESTMENT PLANNERS, INC. | 1731327 | Gregory | Smith | James | [
"GREGORY J SMITH",
"SMITTY SMITH",
"Greg Smith"
] | Active | Active | Y | 0 | 1 | 3 | Naperville | IL | 18557 | 8-35642 | N | 2026-08-03T20:51:52.536531+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 | ||
ONEAMERICA SECURITIES, INC. | 2833891 | Philip | Smith | Norris | [
"PHILLIP NORRIS SMITH",
"PHILIP NORRIS SMITHSMITH",
"Philip N Smith"
] | Active | Active | Y | 0 | 1 | 2 | Newport Beach | CA | 92660 | 4173 | 8-15009 | 801-56819 | N | 2026-08-03T20:51:52.536581+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | 7698200 | Justin | Smith | Ojay | [
"Jay O Smith",
"Jay Ojay Smith",
"Jay Smith",
"Justin O Smith",
"Justin Smith"
] | Active | NotInScope | Y | 0 | 1 | 2 | Frisco | TX | 75034 | 20472 | 8-44454 | 801-63550 | N | 2026-08-03T20:51:52.536607+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
CHARLES SCHWAB & CO., INC. | 2687834 | Bryan | Smith | Andrew | [
"B.A. Smith",
"Bryan A. Smith",
"Bryan Smith"
] | Active | NotInScope | Y | 0 | 1 | 1 | Phoenix | AZ | 85016-1215 | 5393 | 8-16514 | 801-29938 | N | 2026-08-03T20:51:52.536620+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
LPL FINANCIAL LLC | 2748975 | ROBERT | SMITH | DELMER | [
"BOB SMITH",
"ROB SMITH"
] | Active | Active | Y | 0 | 1 | 2 | SAN DIEGO | CA | 92131 | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:51:52.536635+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
CASSEL SALPETER & CO., LLC | 1018196 | JOSEPH | SMITH | ALAN | [
"JOE SMITH",
"JOEY SMITH"
] | Active | NotInScope | Y | 0 | 1 | 1 | MIAMI | FL | 33133 | 153522 | 8-68547 | N | 2026-08-03T20:51:52.683211+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 | |
EMPOWER FINANCIAL SERVICES, INC. | 2502953 | Bryan | Smith | Todd | [
"Bryan T Smith",
"Bryan Smith",
"Todd Smith"
] | Active | Active | Y | 0 | 1 | 3 | GREENWOOD VILLAGE | CO | 80111 | 13109 | 8-33854 | N | 2026-08-03T20:51:52.683281+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6345204 | Kevin | Smith | P | [
"K. Peter Smith Jr.",
"Kevin Peter Smith Jr",
"Kevin Smith",
"Peter Smith",
"Pete Smith"
] | Active | Active | Y | 0 | 1 | 2 | EDINA | MN | 55435 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:52.683297+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
PFS INVESTMENTS INC. | 1914176 | FLOYD | SMITH | LES | [
"F LES SMITH JR",
"F LES SMITH",
"F LES JR SMITH"
] | Active | NotInScope | Y | 0 | 1 | 1 | WICHITA | KS | 67203 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:51:52.683314+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
WELLS FARGO CLEARING SERVICES, LLC | 2992967 | LARRY | SMITH | KEN | [
"KEN L SMITH",
"L KEN SMITH"
] | Active | Active | Y | 0 | 1 | 2 | MINNEAPOLIS | MN | 55402 | 19616 | 8-37180 | 801-37967 | N | 2026-08-03T20:51:52.683326+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
FOCUS PARTNERS WEALTH, LLC | 1012313 | THOMAS | UBER | EDWARD | [
"THOMAS UBER"
] | NotInScope | Active | Y | 0 | 0 | 1 | Ivins | UT | 159289 | Y | 2026-08-03T20:53:07.430281+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald | |||
EDWARD JONES | 1412383 | John | Ubelhor | A. | [
"JOHN ARNOLD UBELHOR",
"John A Ubelhor"
] | Active | Active | Y | 0 | 1 | 2 | BOONVILLE | IN | 47601 | 250 | 8-759 | 801-3297 | N | 2026-08-03T20:53:07.430314+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald |
PNC WEALTH MANAGEMENT LLC | 4194576 | MARCELO | UBAL | FABIAN | [
"MARCELO F. UBAL"
] | Active | Active | Y | 0 | 1 | 3 | CHARLOTTE | NC | 28207 | 129052 | 8-66195 | 801-66195 | N | 2026-08-03T20:53:07.430333+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald |
PFS INVESTMENTS INC. | 3106878 | UBAID | GIBSON | [] | Active | NotInScope | Y | 0 | 1 | 2 | CHINO HILLS | CA | 91709 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:53:07.430584+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald | |
ALLSTATE FINANCIAL SERVICES, LLC | 3255813 | Ubaldo | Bermudez | [
"UBALDO BERMUDEZ JR"
] | Active | NotInScope | Y | 0 | 1 | 1 | El Centro | CA | 92243-4748 | 18272 | 8-36365 | N | 2026-08-03T20:53:07.563535+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald | ||
LPL ENTERPRISE, LLC | 2341262 | JANICE | UBERECKEN | C | [] | Active | Active | Y | 0 | 1 | 3 | SUPERIOR | WI | 54880 | 8733 | 8-26037 | 801-130883 | N | 2026-08-03T20:53:07.563566+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald |
OPPENHEIMER & CO. INC. | 1551026 | CRAIG | PLATT | LYLE | [] | Active | Active | Y | 0 | 1 | 3 | ASPEN | CO | 249 | 8-4077 | 801-887 | N | 2026-08-03T20:52:46.658022+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
PARK AVENUE SECURITIES LLC | 2618153 | LILY | LAM | C | [
"LILY CHIMAN LAM",
"Lily C Lam",
"Lily Lam"
] | Active | NotInScope | Y | 0 | 1 | 1 | HOLMDEL | NJ | 07733 | 46173 | 8-51324 | 801-58108 | N | 2026-08-03T20:52:46.658069+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN |
PARK AVENUE SECURITIES LLC | 5960005 | SARAH | RUTHERFORD | [
"SARAH B LILE",
"SARAH BETH LILE",
"Sarah Lile"
] | Active | Active | Y | 0 | 1 | 3 | NEW YORK | NY | 10001 | 46173 | 8-51324 | 801-58108 | N | 2026-08-03T20:52:46.837518+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
CRESCENT SECURITIES GROUP, INC. | 2724534 | Marty | Lile | Shelton | [
"MARTY S LILE",
"MARTY LILE"
] | Active | NotInScope | Y | 0 | 1 | 1 | Denver | CO | 80237 | 114993 | 8-53457 | N | 2026-08-03T20:52:46.837543+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
J.K. FINANCIAL SERVICES, INC. | 4336165 | LILY | HO | MEIXIA | [
"LILY M HO",
"WEI XIA He",
"Lily Meixia Ho",
"Lily Ho"
] | Active | Active | Y | 0 | 1 | 3 | Dripping Springs | TX | 78620 | 103728 | 8-52214 | N | 2026-08-03T20:52:46.837551+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
MORGAN STANLEY | 724556 | LILY | ENGELHARDT | KORINE | [
"LILY K ENGELHARDT",
"LILY KORINE HADAR",
"LILY HADAR",
"LILY KORINE"
] | Active | Active | Y | 0 | 1 | 3 | New York | NY | 10119 | 149777 | 8-68191 | 801-70103 | N | 2026-08-03T20:52:46.837558+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN |
CREWS & ASSOCIATES, INC. | 707734 | JAMES | LILES | EDGAR | [
"JIM LILES JR",
"TIM LILES JR"
] | Active | Active | Y | 0 | 1 | 2 | Searcy | AR | 72143 | 8052 | 8-24075 | 801-128827 | N | 2026-08-03T20:52:46.837565+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN |
WELLS FARGO CLEARING SERVICES, LLC | 5777691 | HANLU | YE | [
"LULU YE"
] | Active | Active | Y | 0 | 1 | 2 | MURPHY | TX | 75094 | 19616 | 8-37180 | 801-37967 | N | 2026-08-03T20:52:46.837573+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
FIDELITY BROKERAGE SERVICES LLC | 5451141 | VALERIE | MILLER | A | [
"VALERIE MILLER"
] | Active | NotInScope | N | 0 | 1 | 2 | SMITHFIELD | RI | 02917 | 7784 | 8-23292 | N | 2026-08-03T20:50:58.262982+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
HARBOUR INVESTMENTS, INC. | 4633262 | VALERIE | MILLER | NORENE | [
"VALERIE NORENE JESIONOWSKI",
"VALERIE JESIONOWSKI",
"VAL MILLER",
"VALERIE N MILLER"
] | Active | Active | N | 0 | 1 | 3 | Edmonds | WA | 98026 | 19258 | 8-37373 | 801-29185 | N | 2026-08-03T20:50:58.263012+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
CHARLES SCHWAB & CO., INC. | 5150902 | Valerie | Miller | L | [
"VALERIE LYNN BARRETT",
"VALERIE LYNN MILLER"
] | Active | Active | N | 0 | 1 | 2 | Omaha | NE | 68154 | 5393 | 8-16514 | 801-29938 | N | 2026-08-03T20:50:58.263022+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
EDWARD JONES | 4552062 | Vanessa | Miller | Anne | [] | Active | Active | N | 0 | 1 | 2 | ENID | OK | 73701 | 250 | 8-759 | 801-3297 | N | 2026-08-03T20:50:58.263030+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
CITIZENS SECURITIES, INC. | 4262386 | ROSEMARY | MILLER | VALARIE | [
"ROSEMARY VALARIE BILLERI",
"ROSEMARY V MILLER"
] | Active | Active | N | 0 | 1 | 2 | JOHNSTON | RI | 02919 | 39550 | 8-48744 | 801-61902 | N | 2026-08-03T20:50:58.263038+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
LPL FINANCIAL LLC | 4868695 | LORETTA | MILLER | MICHELLE | [
"LORETTA MICHELLE VALDEZ"
] | Active | Active | N | 0 | 1 | 2 | ALTAMONTE SPRINGS | FL | 32714 | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:50:58.263046+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
MML INVESTORS SERVICES, LLC | 4914664 | Michelle | Miller | Donovan | [
"MICHELLE ANN DONOVAN",
"MICHELLE DONOVAN MILLER",
"Michelle Donovan VandeBurgt"
] | Active | NotInScope | N | 0 | 1 | 2 | SPRINGFIELD | MA | 01111 | 10409 | 8-27250 | 801-44264 | N | 2026-08-03T20:50:58.263056+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
WAYMAKER FINANCIAL PLANNING | 2441702 | MICHELLE | VARGAS | MILLER | [
"MICHELLE MILLER",
"Michelle R. Miller",
"Michelle Renee Miller",
"Michelle Miller Vargas",
"Michelle Vargas"
] | NotInScope | Active | N | 0 | 0 | 1 | FORT WORTH | TX | 76107 | 308177 | Y | 2026-08-03T20:50:58.263063+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
INSIGNEO SECURITIES, LLC | 7740119 | JUAN | VARGAS MILLER | PEDRO | [
"JUAN PEDRO VARGAS"
] | Active | NotInScope | N | 0 | 1 | 2 | MONTEVIDEO | 91600 | 29249 | 8-44166 | N | 2026-08-03T20:50:58.263069+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
PARK AVENUE SECURITIES LLC | 4958347 | ANGELA | VAHUE | P | [
"ANGELA P MILLER",
"ANGELA P SZAFRAN",
"Angela Vahue"
] | Active | Active | N | 0 | 1 | 3 | RESTON | VA | 20191 | 46173 | 8-51324 | 801-58108 | N | 2026-08-03T20:50:58.263076+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
STIFEL, NICOLAUS & COMPANY, INCORPORATED | 5020953 | Nancy | VanLoo | J | [
"NANCY JOAN FISCHER",
"NANCY JOAN MILLER",
"NANCY JOAN VANLOO"
] | Active | Active | N | 0 | 1 | 2 | LIMA | OH | 45807 | 793 | 8-1447 | 801-10746 | N | 2026-08-03T20:50:58.263083+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
ROOT FINANCIAL PARTNERS | 7210811 | Erin | Varghese | Rochelle | [
"Erin Rochelle Miller"
] | InActive | Active | N | 127 | 0 | 1 | Ridgefield | WA | 290289 | 801-125945 | Y | 2026-08-03T20:50:58.263091+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
PFS INVESTMENTS INC. | 5995914 | VALORIE | CLEVELAND | [
"VALORIE MILLER CLEVELAND",
"VALORIE MICHELLE MILLER"
] | Active | InActive | N | 0 | 1 | 1 | BATON ROUGE | LA | 70802 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:50:58.263098+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
GENEOS WEALTH MANAGEMENT, INC. | 2716839 | YVONNE | SMITH | RENEE | [
"YVONNE MILLER",
"YVONNE SMITH",
"YVONNE RENEE VANDERMOLEN"
] | Active | Active | N | 0 | 1 | 2 | Orchard Park | NY | 14127 | 120894 | 8-65357 | 801-62331 | N | 2026-08-03T20:50:58.263104+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
NOMURA SECURITIES INTERNATIONAL, INC. | 4813970 | CLARENCE | VAN MILDER | WILFRED JAMES | [
"CLARENCE W VAN MILDER",
"CLARENCE VAN MILDER",
"JAMES VAN MILDER",
"CLARENCE W VANMILDER",
"JAMES VANMILDER"
] | Active | NotInScope | N | 0 | 1 | 2 | NEW YORK | NY | 10019 | 4297 | 8-15255 | 801-72991 | N | 2026-08-03T20:50:58.263110+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
KKR CAPITAL MARKETS LLC | 2494365 | VANITHA | MILBERG | [
"VANITHA BADARI",
"Vanitha Milberg"
] | Active | NotInScope | N | 0 | 1 | 1 | New York | NY | 10001 | 143571 | 8-67578 | N | 2026-08-03T20:50:58.263117+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
FIDELITY BROKERAGE SERVICES LLC | 7399509 | VANESSA | JACKSON | A. | [
"VANESSA AIMEE JACKSON",
"Vanessa Aimee Millard"
] | Active | NotInScope | N | 0 | 1 | 2 | WESTLAKE | TX | 76262 | 7784 | 8-23292 | N | 2026-08-03T20:50:58.263125+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
STATE FARM VP MANAGEMENT CORP. | 7620241 | Julia | Muller | Valarie | [] | Active | Active | N | 0 | 1 | 2 | Palm Bch Gdns | FL | 33410 | 43036 | 8-50128 | N | 2026-08-03T20:50:58.263130+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
LPL ENTERPRISE, LLC | 1858674 | JOANNE | JOHNSON | [
"JO ANNE JOHNSON",
"JOANNE ANNE JOHNSON",
"JOANNE ANNE JOHNSONGULLO",
"JOANNE JOHNSONGULLO"
] | Active | NotInScope | Y | 0 | 1 | 1 | DELANCO | NJ | 8733 | 8-26037 | 801-130883 | N | 2026-08-03T20:52:14.881293+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | ||
THRIVENT INVESTMENT MANAGEMENT INC. | 4523821 | Lafayette | Johnson | David | [
"D. J. JOHNSON",
"L. DAVID JOHNSON",
"DJ Johnson"
] | Active | Active | Y | 0 | 1 | 2 | Midlothian | VA | 23113 | 18387 | 8-36525 | 801-29618 | N | 2026-08-03T20:52:14.881333+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 7301053 | Jason | Johnson | Barq | [
"JASON BARQ JOHNSON",
"JASON B JONHSON",
"Jason Barq Johnson Jr"
] | Active | Active | Y | 0 | 1 | 2 | FORT WORTH | TX | 76102 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:52:14.881350+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 |
LPL FINANCIAL LLC | 2607639 | DOUGLAS | JOHNSON | MARK | [
"DJ JOHNSON",
"DOUG JOHNSON"
] | Active | Active | Y | 0 | 1 | 2 | WINONA | MN | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:52:14.881358+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | |
TRIAD WEALTH PARTNERS, LLC | 4973276 | JOHN PAUL | JOHNSON | [
"JOHN PAUL JOHNSON",
"JOHN JOHNSON",
"JP JOHNSON"
] | InActive | Active | Y | 7,232 | 0 | 1 | FRISCO | TX | 75036 | 326523 | 801-128150 | Y | 2026-08-03T20:52:14.881371+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | ||
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2122107 | DANE | JOHNSON | M | [
"DANA JOHNSON",
"DANE JOHNSON"
] | Active | Active | Y | 0 | 1 | 3 | WESTLAKE VILLAGE | CA | 91361 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:52:14.881384+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 |
TRANSAMERICA INVESTORS SECURITIES, LLC | 7730075 | Leon | Johnson | Devonta | [
"Leon D Johnson",
"Leon Johnson"
] | Active | NotInScope | Y | 0 | 1 | 2 | Plymouth | MN | 32205 | 8-45671 | N | 2026-08-03T20:52:15.054379+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | ||
VALIC FINANCIAL ADVISORS, INC. | 2328395 | WILLIAM | WILLIAMS | GEORGE | [
"BILL WILLIAMS",
"W G WILLIAMS",
"WILLIAM WILLIAMS"
] | Active | Active | Y | 0 | 1 | 2 | NOVI | MI | 48375 | 42803 | 8-50018 | 801-54952 | N | 2026-08-03T20:52:33.736588+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba |
THRIVENT INVESTMENT MANAGEMENT INC. | 4817826 | Robert | Williams | [
"ROB WILLIAMS",
"ROBBIE WILLIAMS",
"ROBERT WILLIAMS III",
"ROBERT WILLIAMS III",
"Rob Williams",
"Robert Williams"
] | Active | Active | Y | 0 | 1 | 3 | MINNEAPOLIS | MN | 55415 | 18387 | 8-36525 | 801-29618 | N | 2026-08-03T20:52:33.736636+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba | |
AMERIPRISE FINANCIAL SERVICES, LLC | 4261659 | KIMBERLY | WILLIAMS | SHAY | [
"KIM SHAY WILLIAMS",
"KIM WILLIAMS",
"KIMBERLY S. WILLIAMS",
"KIMBERLY WILLIAMS",
"SHAY WILLIAMS"
] | Active | Active | Y | 0 | 1 | 3 | AUSTIN | TX | 78731 | 6363 | 8-16791 | 801-28543 | N | 2026-08-03T20:52:33.736651+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba |
LPL FINANCIAL LLC | 5787114 | KYLE | WILLIAMS | [
"JON KYLE WILLIAMS",
"JON WILLIAMS"
] | Active | Active | Y | 0 | 1 | 2 | ALTAMONTE SPRINGS | FL | 32714 | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:52:34.012327+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6053834 | Yair | Garcia | Juventino | [
"J GARCIA",
"JAY GARCIA",
"YAIR J GARCIA",
"YAIR JUVENTINO GARCIA",
"YAIR GARCIA",
"Yair J. Garcia"
] | Active | Active | N | 0 | 1 | 2 | FORT WORTH | TX | 76109 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654235+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
OPEN TO THE PUBLIC INVESTING, INC. | 6375174 | BALTAZAR | GARCIA | [
"B.G. GARCIA",
"BALTAZAR GARCIA",
"BART GARCIA"
] | Active | InActive | N | 0 | 1 | 2 | NEW YORK | NY | 10012 | 127818 | 8-66049 | N | 2026-08-03T20:51:30.654272+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
PFS INVESTMENTS INC. | 6789216 | JOAQUIN | GARCIA | [
"Joaquin Garcia Garcia",
"Joaquin Garcia"
] | Active | NotInScope | N | 0 | 1 | 2 | RANCHO CUCAMONGA | CA | 91701 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:51:30.654288+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
SUTTER SECURITIES INCORPORATED | 2264780 | ROLANDO | GARCIA | EMILIO | [
"ROLAND GARCIA",
"ROLANDO GARCIA",
"RON GARCIA",
"RONNIE GARCIA"
] | Active | InActive | Y | 0 | 1 | 1 | Henderson | NV | 30770 | 8-45158 | N | 2026-08-03T20:51:30.654302+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
ALLSTATE FINANCIAL SERVICES, LLC | 5530073 | REX | GARCIA | SOLIVEN | [
"REX S GARCIA",
"REX GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | Mountain View | CA | 94040-2406 | 18272 | 8-36365 | N | 2026-08-03T20:51:30.654312+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
GMI GLOBAL PARTNERS LLC | 7831350 | Edwardo | Garcia | [
"Ed Garcia III",
"Ed Garcia",
"Eduardo Garcia III",
"Eduardo Garcia",
"Edwardo Garcia"
] | NotInScope | Active | N | 0 | 0 | 1 | HOUSTON | TX | 77056 | 328066 | Y | 2026-08-03T20:51:30.654319+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
J.P. MORGAN SECURITIES LLC | 7252811 | Jose | Garcia | C. | [
"J.C. Garcia",
"Jose C Garcia Jr",
"Jose C Garcia",
"Jose Clemente Garcia",
"Jose Garcia"
] | Active | Active | Y | 0 | 1 | 2 | Lexington | SC | 29072 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.654328+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
SEI INVESTMENTS DISTRIBUTION CO. | 2500963 | GABRIEL | GARCIA | [
"GABE GARCIA",
"GABRIEL (NONE) GARCIA",
"Gabriel Garcia"
] | Active | Active | N | 0 | 1 | 3 | OAKS | PA | 19456 | 10690 | 8-27897 | N | 2026-08-03T20:51:30.654335+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
VANGUARD MARKETING CORPORATION | 7882939 | Nicholas | Garcia | Ruben | [
"Nic Garcia",
"Nicholas Garcia",
"Nick Garcia"
] | Active | NotInScope | Y | 0 | 1 | 2 | MALVERN | PA | 19355 | 7452 | 8-21570 | N | 2026-08-03T20:51:30.654340+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
WELLS FARGO CLEARING SERVICES, LLC | 4101497 | MOISES | GARCIA | GABRIEL | [
"GABE G GARCIA",
"GABE GARCIA",
"Moises Gabriel Garcia"
] | Active | Active | N | 0 | 1 | 3 | SAN DIEGO | CA | 92101 | 19616 | 8-37180 | 801-37967 | N | 2026-08-03T20:51:30.654346+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
CETERA FINANCIAL SPECIALISTS LLC | 1603413 | JAIME | GARCIA | ERNESTO | [
"JAMES GARCIA",
"JIM GARCIA"
] | Active | Active | N | 0 | 1 | 2 | CYPRESS | CA | 90630 | 10358 | 8-27082 | N | 2026-08-03T20:51:30.654352+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
PFS INVESTMENTS INC. | 8159070 | NICHOLAS | GARCIA | FERNANDO | [
"NICK GARCIA",
"NICO GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | TIPP CITY | OH | 45371 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:51:30.654358+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
VANGUARD MARKETING CORPORATION | 8088098 | Daniel | Garcia | Kent | [
"Dan Garcia",
"Daniel K Garcia",
"Daniel Garcia"
] | Active | NotInScope | N | 0 | 1 | 2 | MALVERN | PA | 19355 | 7452 | 8-21570 | N | 2026-08-03T20:51:30.654369+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
NYLIFE SECURITIES LLC | 7719371 | Yul | Garcia | Breyner | [
"Yul Breyner Garcia Meza",
"Yul Breyner GarciaMeza"
] | Active | NotInScope | N | 0 | 1 | 1 | PITTSBURGH | PA | 15219 | 5167 | 8-15517 | N | 2026-08-03T20:51:30.654379+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6995572 | Damien | Garcia | Henry | [
"DH Garcia",
"Damien Garcia"
] | Active | Active | N | 0 | 1 | 2 | NEW YORK | NY | 10036 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654386+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
J.P. MORGAN SECURITIES LLC | 7844066 | Luis | Garcia | Gabriel | [
"LUIS GABRIEL GARCIA",
"LUIS GARCIA",
"Luis G Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | WEST PALM BEACH | FL | 33401 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.654391+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 7614342 | Jafet | Garcia | [
"Jay Garcia",
"Jayfet Garcia"
] | Active | Active | Y | 0 | 1 | 2 | NASHVILLE | TN | 37203 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654398+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
NELSON SECURITIES,INC. | 2907890 | ENRIQUE | GARCIA | MALDONADO | [
"HENRY GARCIA",
"RICK GARCIA"
] | Active | Active | N | 0 | 1 | 2 | SAN DIEGO | CA | 92130 | 14377 | 8-30576 | 801-41346 | N | 2026-08-03T20:51:30.654403+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
EMPOWER FINANCIAL SERVICES, INC. | 5643108 | Juan | Garcia | Carlos | [
"JUAN GARCIA",
"Juan C Garcia"
] | Active | Active | N | 0 | 1 | 3 | GREENWOOD VILLAGE | CO | 80111 | 13109 | 8-33854 | N | 2026-08-03T20:51:30.654410+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6160860 | M | GARCIA | Carmen | [
"CARMEN GARCIA",
"M CARMEN GARCIA",
"MCARMEN GARCIA",
"M Carmen Garcia"
] | Active | Active | N | 0 | 1 | 2 | CLOVIS | CA | 93612 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654415+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
RAYMOND JAMES & ASSOCIATES, INC. | 6177756 | ELLA | GARCIA | MARGARITA | [
"ELLA M. GARCIA",
"ELLA GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | PLYMOUTH | MI | 48170 | 705 | 8-10999 | 801-10418 | N | 2026-08-03T20:51:30.654421+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
CETERA INVESTMENT SERVICES LLC | 6196668 | ALEX | GARCIA | MATTHEW | [
"ALEX M GARCIA",
"ALEX GARCIA"
] | Active | Active | N | 0 | 1 | 3 | AUSTIN | TX | 78749 | 15340 | 8-31826 | N | 2026-08-03T20:51:30.654431+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
FIDELITY BROKERAGE SERVICES LLC | 7899913 | AMYA | GARCIA | Marie | [
"AMYA M GARCIA",
"AMYA GARCIA"
] | Active | NotInScope | N | 0 | 1 | 2 | WESTLAKE | TX | 76262 | 7784 | 8-23292 | N | 2026-08-03T20:51:30.654446+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
QUANTUM WEALTH ADVISORS LLC | 4865182 | ARTHUR | GARCIA | COLE | [
"A COLE GARCIA",
"COLE GARCIA"
] | NotInScope | Active | N | 0 | 0 | 2 | OROVILLE | CA | 336823 | Y | 2026-08-03T20:51:30.654454+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
UBS FINANCIAL SERVICES INC. | 7729675 | Juan | Garcia | Carlos | [
"Juan C. Garcia",
"Juan Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | Purchase | NY | 10577 | 8174 | 8-16267 | 801-7163 | N | 2026-08-03T20:51:30.654460+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
GLOBAL VIEW CAPITAL MANAGEMENT LLC | 5579615 | RUDY | GARCIA | LEE | [
"RUDY L. GARCIA",
"RUDY GARCIA"
] | NotInScope | Active | N | 0 | 0 | 1 | FORK UNION | VA | 158292 | Y | 2026-08-03T20:51:30.654465+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
KINGSWOOD CAPITAL PARTNERS, LLC | 4802755 | Gus | Garcia | [
"GUS GARCIA",
"GUSTAVO A GARCIA",
"GUSTAVO GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | Stamford | CT | 06901 | 288898 | 8-69967 | N | 2026-08-03T20:51:30.654472+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
J.P. MORGAN SECURITIES LLC | 7706757 | Adolfo | Garcia | Rodrigo | [
"Adolfo R Garcia",
"Adolfo Garcia",
"Alex R Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | WACO | TX | 76710 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.654478+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
AMERIPRISE FINANCIAL SERVICES, LLC | 6682178 | Jose | Garcia | Luis | [
"Jose Luis Garcia Jr",
"Jose Luis Garcia Velasquez",
"Jose Luis GarciaVelasquez"
] | Active | Active | N | 0 | 1 | 3 | NORWELL | MA | 02061-1641 | 6363 | 8-16791 | 801-28543 | N | 2026-08-03T20:51:30.654483+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
EDWARD JONES | 7549699 | Elizabeth | Garcia | E | [
"ELIZABETH GARCIA",
"Libby Gacia"
] | Active | Active | N | 0 | 1 | 3 | ST. LOUIS | MO | 63131 | 250 | 8-759 | 801-3297 | N | 2026-08-03T20:51:30.654489+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
CHARLES SCHWAB & CO., INC. | 2181113 | Mark | Garcia | A | [
"MARK A GARCIA",
"MARK ANDREW GARCIA",
"Mark Garcia"
] | Active | Active | N | 0 | 1 | 2 | Brea | CA | 92823 | 5393 | 8-16514 | 801-29938 | N | 2026-08-03T20:51:30.654497+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
DIRECTED SERVICES LLC | 8145363 | Elaine Rhodora | Garcia | Limboy | [
"Elaine Garcia",
"Elay Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | QUEZON CITY, METRO MANILA | 1110 | 21675 | 8-39104 | 801-32675 | N | 2026-08-03T20:51:30.654506+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6900947 | Jesus | Garcia | Alegria | [
"JESSE GARCIA",
"JESUS GARCIA"
] | Active | Active | N | 0 | 1 | 2 | VISALIA | CA | 93291 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.822180+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
DIRECTED SERVICES LLC | 8145363 | Elaine Rhodora | Garcia | Limboy | [
"Elaine Garcia",
"Elay Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | QUEZON CITY, METRO MANILA | 1110 | 21675 | 8-39104 | 801-32675 | N | 2026-08-03T20:51:30.822217+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
VANGUARD MARKETING CORPORATION | 7716453 | Noah | Garcia | [
"NOE GARCIA",
"Noe Garcia Meza"
] | Active | InActive | N | 0 | 1 | 2 | MALVERN | PA | 19355 | 7452 | 8-21570 | N | 2026-08-03T20:51:30.822229+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
BNP PARIBAS SECURITIES CORP. | 3083605 | JUAN | GARCIA | ESTEBAN | [
"JUAN E GARCIA",
"STEBS GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | NEW YORK | NY | 10019 | 15794 | 8-32682 | N | 2026-08-03T20:51:30.822241+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
VERITAS FINANCIAL CONSULTING LLC | 5819452 | JOSHUA | GARCIA | DANIEL | [
"JOSH GARCIA",
"JOSHUA GARCIA"
] | NotInScope | Active | N | 0 | 0 | 1 | MONROVIA | CA | 91016 | 314363 | Y | 2026-08-03T20:51:30.822253+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
NYLIFE SECURITIES LLC | 8253206 | Genaro | Garcia | Alberto | [
"G. A. Garcia",
"Genaro Alberto Garcia",
"Gene Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | CORPUS CHRISTI | TX | 78411 | 5167 | 8-15517 | N | 2026-08-03T20:51:30.822265+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
PACIFIC FINANCIAL STRATEGIES, INC | 1626067 | JOSEPH | GARCIA | ARTHUR | [
"ART GARCIA",
"J ARTHUR GARCIA"
] | NotInScope | Active | N | 0 | 0 | 1 | THOUSAND OAKS | CA | 91360 | 151434 | Y | 2026-08-03T20:51:30.822277+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
J.P. MORGAN SECURITIES LLC | 6098314 | Juan | Garcia | M. | [
"JUAN M GARCIA",
"JUAN MARTIN GARCIA",
"JUAN GARCIA"
] | Active | Active | Y | 0 | 1 | 2 | JERSEY CITY | NJ | 07302 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.822288+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
ABSOLUTE CAPITAL MANAGEMENT, LLC | 1436809 | IROLAND | GARCIA | RAFAEL | [
"IROLAND RICK GARCIA",
"IROLAND GARCIA",
"RAFAEL GARCIA",
"RICK RAFAEL GARCIA",
"RICK GARCIA"
] | NotInScope | Active | Y | 0 | 0 | 1 | BOYNTON BEACH | FL | 121484 | Y | 2026-08-03T20:51:30.822301+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
J.P. MORGAN SECURITIES LLC | 6463688 | Alex | Garcia | Micheal | [
"ALEX M GARCIA",
"ALEX MICHAEL GARCIA",
"ALEX GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | MISSOURI CITY | TX | 77459 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.822313+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
KINGSWOOD CAPITAL PARTNERS, LLC | 5027185 | GARY | GARCIA | G | [
"GARY G GARCIA II",
"Gary Glenn Garcia"
] | Active | Active | N | 0 | 1 | 2 | Tampa | FL | 33609 | 288898 | 8-69967 | N | 2026-08-03T20:51:30.822324+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
BROOKSTONE CAPITAL MANAGEMENT LLC | 2084937 | PELAYO | GARCIA | NICHOLAS | [
"PELAYO N JR GARCIA",
"PETE GARCIA",
"PETER GARCIA JR",
"Pelayo (Peter) Garcia"
] | NotInScope | Active | N | 0 | 0 | 1 | Weston | FL | 33326 | 141413 | Y | 2026-08-03T20:51:30.822333+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
CETERA INVESTMENT SERVICES LLC | 2622761 | ANTONIO | GARCIA | AVELINO | [
"ANTHONY GARCIA",
"TONY GARCIA"
] | Active | Active | N | 0 | 1 | 2 | PINECREST | FL | 33156 | 15340 | 8-31826 | N | 2026-08-03T20:51:30.822343+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6885211 | Illya | Williams | De Jesus | [
"Illya Williams",
"ilya d williams",
"sunny williams"
] | Active | Active | N | 0 | 1 | 2 | ONTARIO | CA | 91764 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:49:43.137873+00:00 | N77eovWnXN2vsZiMe | 7gvuKHGg8fkl18pRr |
ROTHSCHILD & CO US INC. | 4851406 | WILLIAM | ILG | ALEXANDER | [
"WILLIAM A ILG"
] | Active | NotInScope | N | 0 | 1 | 1 | NEW YORK | NY | 10020 | 2910 | 8-13852 | N | 2026-08-03T20:49:43.137908+00:00 | N77eovWnXN2vsZiMe | 7gvuKHGg8fkl18pRr |
End of preview. Expand in Data Studio
FINRA BrokerCheck Scraper · Advisors, Firms & Disclosures
Scrape financial advisors, firm affiliations, CRDs, registration scope, and disclosure histories directly from FINRA BrokerCheck API into clean dataset rows.
| Rows in this dataset | 1,430 |
| Fields | 22 |
| Collector runs behind it | 50 |
| Most recent observation | 2026-08-03 |
What this is
Every row here was returned by a real run of a public collector. Nothing is generated from a template over a keyword list: a row exists because a run observed it.
Provenance
Each row carries _run_id and _dataset_id, naming the collector run that produced it, so any
row can be traced back to the run that observed it. Rows observed by more than one run are
deduplicated on content; 0 duplicate observations were collapsed.
Files
finra-brokercheck-scraper.jsonl— one JSON object per row, the canonical formfinra-brokercheck-scraper.csv— the same rows flattened; nested values are JSON-encoded within their cell so they round-tripdataset.json— schema.orgDatasetmetadata
Loading it
from datasets import load_dataset
ds = load_dataset("reapxdev/finra-brokercheck-scraper", split="train")
Related
- All sources: https://reapx.dev/data/ · machine-readable index: https://reapx.dev/llms.txt
- The collector is a public Apify Actor; agents reach it through https://mcp.apify.com
Licence
Collected from public sources. This metadata and the published pages are CC BY 4.0; the underlying records remain under the terms of their originating source.
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