Broker-Dealer Representative Data

Data Fields Available

Every broker-dealer reps record includes verified contact information and regulatory data sourced from FINRA, SEC, and state regulatory databases.

• Identity: Full name, CRD number, firm name, firm CRD
• Registration: License type, registration status, regulatory body (SEC vs state)
• Credentials: CFP, CFA, ChFC, CIMA, AEP, and other professional designations
• Financials: AUM range (from SEC ADV filings), fee structure
• Contact: Verified email, direct phone, mailing address
• Compliance: Disclosure history, complaint records, regulatory actions

How We Source Broker-Dealer Reps Data

FINRA-registered representatives operating under broker-dealer firms. Commission-based or fee-and-commission, Series 7 licensed, suitability standard.

We pull registration records from FINRA BrokerCheck and SEC IAPD, then enrich each record with verified contact information from multiple commercial and public sources. Every email is deliverability-tested. Every phone number is checked for connectivity. Inactive registrations are flagged or excluded.

Common Use Cases

Teams selling compliance technology, fintech platforms, insurance products, and advisory services use Fiducia broker-dealer reps data for targeted outreach. Custodians use it for RIA recruitment. Recruiting firms use it to source candidates. Asset managers use it to identify distribution partners.