For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end of the quarter and reports are published shortly thereafter. Learn more about equities and options.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 106032 | IDB CAPITAL CORP. | Self | 01/15/2025 | ||
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 7477 | COLLIERS SECURITIES LLC | Self | 01/14/2025 | XML | INFO |
| 2024 | Q4 | 38964 | CREAND SECURITIES | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 10641 | CADARET, GRANT & CO., INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 104387 | PGM GLOBAL INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 5953 | VANDERBILT SECURITIES, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | Self | 01/14/2025 | ||
| 2024 | Q4 | 103727 | GAGNON SECURITIES, LLC | Self | 01/14/2025 | XML | SPGLOBAL |
| 2024 | Q4 | 7477 | COLLIERS SECURITIES LLC | Self | 01/14/2025 | INFO | |
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 01/14/2025 | ||
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 129052 | PNC INVESTMENTS | Self | 01/14/2025 | ||
| 2024 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 42046 | KESTRA INVESTMENT SERVICES, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 5167 | NYLIFE SECURITIES LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 103727 | GAGNON SECURITIES, LLC | Self | 01/14/2025 | SPGLOBAL | |
| 2024 | Q4 | 38964 | CREAND SECURITIES | Self | 01/14/2025 | ||
| 2024 | Q4 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 129052 | PNC INVESTMENTS | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 104387 | PGM GLOBAL INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 5953 | VANDERBILT SECURITIES, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 5167 | NYLIFE SECURITIES LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 01/13/2025 | ||
| 2024 | Q3 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 01/13/2025 | ||
| 2024 | Q4 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 18466 | CNR SECURITIES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 134657 | PAR5 CAPITAL & CO LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 104100 | M. S. HOWELLS & CO. | Self | 01/13/2025 | ||
| 2024 | Q4 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 8096 | POPULAR SECURITIES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 2764 | MESIROW FINANCIAL, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 120116 | THEMIS TRADING LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 42060 | OBERWEIS SECURITIES, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 42803 | VALIC FINANCIAL ADVISORS, INC. | Self | 01/13/2025 | INFO | |
| 2024 | Q4 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 01/13/2025 | ||
| 2024 | Q4 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q3 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 8096 | POPULAR SECURITIES, LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 01/13/2025 | ||
| 2024 | Q4 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 120116 | THEMIS TRADING LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 42060 | OBERWEIS SECURITIES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 104100 | M. S. HOWELLS & CO. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 41139 | ALTERNA SECURITIES, INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 8330 | SEAPORT SECURITIES CORP. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 32029 | KA ASSOCIATES, LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 41139 | ALTERNA SECURITIES, INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 01/10/2025 | XML |