RCS Capital · Schema

Broker-Dealer Entity

Schema describing a registered broker-dealer entity as defined by FINRA and SEC regulations, representing firms like those assembled under RCS Capital / Cetera Financial Group.

Broker-DealerCetera Financial GroupDefunctFinancial ServicesIndependent AdvisorInvestment BankingWealth Management

Properties

Name	Type	Description
crdNumber	string	FINRA Central Registration Depository (CRD) number for the firm.
legalName	string	Legal registered name of the broker-dealer.
tradingName	string	DBA (doing business as) name, if different from legal name.
secRegistrationNumber	string	SEC registration number for the broker-dealer.
registrationStatus	string	Current FINRA registration status.
registeredStates	array	US states in which the firm is registered to conduct business.
parentCompany	string	Name of the parent holding company.
advisorCount	integer	Number of registered representatives affiliated with this firm.
assetsUnderAdministration	number	Total assets under administration in USD.
businessTypes	array	Types of business conducted.
headOffice	object

View JSON Schema on GitHub

JSON Schema

{
  "$schema": "https://json-schema.org/draft/2020-12/schema",
  "$id": "https://raw.githubusercontent.com/api-evangelist/rcs-capital/refs/heads/main/json-schema/rcs-capital-broker-dealer-schema.json",
  "title": "Broker-Dealer Entity",
  "description": "Schema describing a registered broker-dealer entity as defined by FINRA and SEC regulations, representing firms like those assembled under RCS Capital / Cetera Financial Group.",
  "type": "object",
  "required": ["crdNumber", "legalName"],
  "properties": {
    "crdNumber": {
      "type": "string",
      "description": "FINRA Central Registration Depository (CRD) number for the firm."
    },
    "legalName": {
      "type": "string",
      "description": "Legal registered name of the broker-dealer."
    },
    "tradingName": {
      "type": "string",
      "description": "DBA (doing business as) name, if different from legal name."
    },
    "secRegistrationNumber": {
      "type": "string",
      "description": "SEC registration number for the broker-dealer."
    },
    "registrationStatus": {
      "type": "string",
      "enum": ["Active", "Inactive", "Suspended", "Terminated"],
      "description": "Current FINRA registration status."
    },
    "registeredStates": {
      "type": "array",
      "description": "US states in which the firm is registered to conduct business.",
      "items": {
        "type": "string",
        "description": "Two-letter US state code."
      }
    },
    "parentCompany": {
      "type": "string",
      "description": "Name of the parent holding company."
    },
    "advisorCount": {
      "type": "integer",
      "description": "Number of registered representatives affiliated with this firm."
    },
    "assetsUnderAdministration": {
      "type": "number",
      "description": "Total assets under administration in USD."
    },
    "businessTypes": {
      "type": "array",
      "description": "Types of business conducted.",
      "items": {
        "type": "string",
        "examples": ["Retail Brokerage", "Investment Advisory", "Mutual Funds", "Variable Annuities", "Alternative Investments"]
      }
    },
    "headOffice": {
      "type": "object",
      "properties": {
        "street": { "type": "string" },
        "city": { "type": "string" },
        "state": { "type": "string" },
        "postalCode": { "type": "string" }
      }
    }
  }
}