Broker-Dealer Entity

{
  "$schema": "https://json-schema.org/draft/2020-12/schema",
  "$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" }
      }
    }
  }
}