URL: https://static.rampweb.finra.org/schemas/brokerdealerfirmlist.json
{
"schemaVersion": "1.0",
"title": "Broker-Dealer Firm Dataset",
"$comment": "Broker-Dealer Firm Dataset",
"BrokerDealerResponse": {
"type": "object",
"properties": {
"brokerDealerFirms": {
"type": "array",
"description": "Array of broker-dealer firm records",
"items": {
"$ref": "#/definitions/BrokerDealerFirm"
}
}
}
},
"definitions": {
"BrokerDealerFirm": {
"type": "object",
"properties": {
"firmCrdNumber": {
"type": "integer",
"format": "int64",
"description": "Central Registration Depository number assigned to the broker-dealer firm"
},
"applicantName": {
"type": "string",
"description": "Official legal name of the broker-dealer applicant",
"maxLength": 255
},
"dbaName": {
"type": "string",
"description": "Doing Business As name (trade name) if different from legal name",
"maxLength": 255
},
"secNumber": {
"type": "string",
"description": "SEC registration number assigned to the broker-dealer",
"maxLength": 20
},
"irsNumber": {
"type": "string",
"description": "IRS Employer Identification Number (EIN)",
"maxLength": 20
},
"mainAddress": {
"$ref": "#/definitions/Address",
"description": "Primary physical address of the main office"
},
"mailingAddress": {
"$ref": "#/definitions/Address",
"description": "Mailing address for correspondence"
},
"secStatus": {
"$ref": "#/definitions/SECStatus",
"description": "Current SEC registration status information"
},
"finraStatus": {
"$ref": "#/definitions/FINRAStatus",
"description": "Current FINRA membership status information"
},
"statesRegistered": {
"type": "array",
"description": "Array of state codes where the broker-dealer is registered",
"items": {
"type": "string",
"description": "Two-letter state abbreviation code",
"maxLength": 2,
"enum": [
"AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL",
"GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA",
"MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE",
"NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "RI",
"SC", "SD", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV", "WY"
]
}
},
"formBD": {
"$ref": "#/definitions/FormBD",
"description": "Form BD question information and indicators"
},
"legalStatus": {
"type": "string",
"description": "Legal status of the broker-dealer",
"maxLength": 50
},
"typesOfBusiness": {
"type": "array",
"description": "Array of business type codes indicating activities conducted by the broker-dealer",
"items": {
"type": "string",
"description": "Business activity code",
"maxLength": 3,
"oneOf": [
{
"const": "PCB",
"description": "Put and call broker or dealer or option writer"
},
{
"const": "BDR",
"description": "Broker or dealer retailing corporate equity securities over-the-counter"
},
{
"const": "MSB",
"description": "Municipal securities broker"
},
{
"const": "NEX",
"description": "Non-exchange member arranging for transactions in listed securities by exchange member"
},
{
"const": "EMC",
"description": "Exchange member engaged in exchange commission business other than floor activities"
},
{
"const": "EMF",
"description": "Exchange member engaged in floor activities"
},
{
"const": "IDM",
"description": "Broker or dealer making inter-dealer markets in corporate securities over-the-counter"
},
{
"const": "BDD",
"description": "Broker or dealer selling corporate debt securities"
},
{
"const": "USG",
"description": "Underwriter or selling group participant (corporate securities other than mutual funds)"
},
{
"const": "MFU",
"description": "Mutual fund underwriter or sponsor"
},
{
"const": "MFR",
"description": "Mutual fund retailer"
},
{
"const": "GSD",
"description": "U.S. government securities dealer"
},
{
"const": "GSB",
"description": "U.S. government securities broker"
},
{
"const": "MSD",
"description": "Municipal securities dealer"
},
{
"const": "VLA",
"description": "Broker or dealer selling variable life insurance or annuities"
},
{
"const": "SSL",
"description": "Solicitor of time deposits in a financial institution"
},
{
"const": "RES",
"description": "Real estate syndicator"
},
{
"const": "OGI",
"description": "Broker or dealer selling gas or oil interests"
},
{
"const": "BIA",
"description": "Broker or dealer selling securities of only one issuer or associate issuers (other than mutual funds)"
},
{
"const": "NPB",
"description": "Broker or dealer selling securities of non-profit organizations (e.g., churches, hospitals)"
},
{
"const": "IAD",
"description": "Investment advisory services"
},
{
"const": "TAP",
"description": "Broker or dealer selling tax shelters or limited partnerships in primary distributions"
},
{
"const": "TAS",
"description": "Broker or dealer selling tax shelters or limited partnerships in the secondary market"
},
{
"const": "TRA",
"description": "Trading securities for own account"
},
{
"const": "PLA",
"description": "Private placements of securities"
},
{
"const": "MRI",
"description": "Broker or dealer selling interests in mortgages or other receivables"
},
{
"const": "BNA",
"description": "Broker or dealer involved in a networking, kiosk, or similar arrangement with a bank, savings bank or association, or credit union"
},
{
"const": "INA",
"description": "Broker or dealer involved in a networking, kiosk, or similar arrangement with an insurance company or agency"
},
{
"const": "OTH",
"description": "Free-form description provided by filer on Schedule D of the form BD"
},
{
"const": "CMD",
"description": "Effects transactions in commodity futures, commodities or commodity options as a broker for others or as a dealer for its own account"
},
{
"const": "XSC",
"description": "Free-form description provided by filer on Schedule D of the form BD"
}
]
}
},
"ownersAndOfficers": {
"type": "array",
"description": "Array of owners and officers associated with the broker-dealer",
"items": {
"$ref": "#/definitions/OwnerOfficer"
}
}
}
},
"Address": {
"type": "object",
"properties": {
"street1": {
"type": "string",
"description": "Primary street address line 1",
"maxLength": 50
},
"street2": {
"type": "string",
"description": "Street address line 2 (suite, floor, etc.)",
"maxLength": 50
},
"city": {
"type": "string",
"description": "City name",
"maxLength": 50
},
"state": {
"type": "string",
"description": "State or province code",
"maxLength": 2
},
"postalCode": {
"type": "string",
"description": "Postal or ZIP code",
"maxLength": 11
},
"country": {
"type": "string",
"description": "Country name",
"maxLength": 50
}
}
},
"SECStatus": {
"type": "object",
"properties": {
"status": {
"type": "string",
"description": "Current SEC registration status",
"oneOf": [
{
"const": "APPROVED",
"description": "Indicates SEC registration approval"
},
{
"const": "TERMREQUEST",
"description": "Indicates a termination request has been filed"
},
{
"const": "CONDITIONAL",
"description": "Indicates conditional approval with specific requirements"
},
{
"const": "PENDINGWD",
"description": "Indicates a pending withdrawal status"
}
]
},
"statusDate": {
"type": "string",
"format": "date",
"description": "Date the current status became effective YYYY-MM-DD",
"maxLength": 10
}
}
},
"FINRAStatus": {
"type": "object",
"properties": {
"status": {
"type": "string",
"description": "Current FINRA membership status",
"oneOf": [
{
"const": "APPROVED",
"description": "Indicates FINRA membership approval"
},
{
"const": "TERMREQUEST",
"description": "Indicates a termination request has been filed"
}
]
},
"statusDate": {
"type": "string",
"format": "date",
"description": "Date the current status became effective YYYY-MM-DD",
"maxLength": 10
}
}
},
"FormBD": {
"type": "object",
"description": "Form BD question responses and indicators",
"properties": {
"question2A": {
"type": "boolean",
"description": "Form BD Question 2A information or indicator"
},
"question2B": {
"type": "boolean",
"description": "Form BD Question 2B information or indicator"
},
"question2C": {
"type": "boolean",
"description": "Form BD Question 2C information or indicator"
},
"question2D": {
"type": "boolean",
"description": "Form BD Question 2D information or indicator"
},
"question3A": {
"type": "boolean",
"description": "Form BD Question 3A information or indicator"
},
"question6": {
"type": "boolean",
"description": "Form BD Question 6 information or indicator"
},
"question7": {
"type": "boolean",
"description": "Form BD Question 7 information or indicator"
},
"question8A": {
"type": "boolean",
"description": "Form BD Question 8A information or indicator"
},
"question8B": {
"type": "boolean",
"description": "Form BD Question 8B information or indicator"
},
"question8C": {
"type": "boolean",
"description": "Form BD Question 8C information or indicator"
},
"question9A": {
"type": "boolean",
"description": "Form BD Question 9A information or indicator"
},
"question9B": {
"type": "boolean",
"description": "Form BD Question 9B information or indicator"
},
"question10A": {
"type": "boolean",
"description": "Form BD Question 10A information or indicator"
},
"question10B": {
"type": "boolean",
"description": "Form BD Question 10B information or indicator"
},
"question12": {
"type": "boolean",
"description": "Form BD Question 12 information or indicator"
},
"question13A": {
"type": "boolean",
"description": "Form BD Question 13A information or indicator"
},
"question13B": {
"type": "boolean",
"description": "Form BD Question 13B information or indicator"
}
}
},
"OwnerOfficer": {
"type": "object",
"properties": {
"scheduleType": {
"type": "string",
"description": "Schedule type: D for Direct (Schedule A) or I for Indirect (Schedule B)",
"maxLength": 1,
"oneOf": [
{
"const": "D",
"description": "Direct ownership (Schedule A)"
},
{
"const": "I",
"description": "Indirect ownership (Schedule B)"
}
]
},
"fullLegalName": {
"type": "string",
"description": "Full legal name of the owner or officer",
"maxLength": 100
},
"entityType": {
"type": "string",
"description": "Type of entity: I for Individual, DE for Domestic Entity, FE for Foreign Entity",
"maxLength": 2
},
"entityInWhichInterestIsOwned": {
"type": "string",
"description": "For indirect owners, the entity in which the ownership interest is held",
"maxLength": 100
},
"status": {
"type": "string",
"description": "Current status/title of the owner/officer (e.g., President, CFO, Owner)",
"maxLength": 100
},
"dateStatusAcquired": {
"type": "string",
"description": "Date the current status was acquired (YYYY-MM format)",
"maxLength": 50
},
"ownershipCode": {
"type": "string",
"description": "Code indicating ownership percentage range",
"maxLength": 50
},
"controlPerson": {
"type": "boolean",
"description": "Indicates whether the individual/entity is a control person"
},
"publicReportingCompany": {
"type": "boolean",
"description": "Indicates whether the owner is a public reporting company"
},
"identification": {
"$ref": "#/definitions/Identification",
"description": "Identification information for the owner/officer"
}
}
},
"Identification": {
"type": "object",
"properties": {
"idType": {
"type": "string",
"description": "Type of identification (e.g., CRD, EIN)",
"maxLength": 20
},
"idNumber": {
"type": "string",
"description": "Identification number corresponding to the ID type",
"maxLength": 50
}
}
}
}
}
