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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2025 | Q4 | 1137 | PRINCIPAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q4 | 130032 | EMERSON EQUITY LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 32396 | VECTORGLOBAL WMG | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 136300 | KEY INVESTMENT SERVICES LLC | NO | NA | ||
| 2025 | Q4 | 19899 | SECU BROKERAGE SERVICES | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q4 | 313329 | OPTIONALITY SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 36368 | MACQUARIE CAPITAL (USA) INC. | NO | NA | XML | |
| 2024 | Q4 | 41791 | SANTANDER SECURITIES LLC | NO | NA | XML | |
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | RAJA | |
| 2024 | Q4 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2024 | Q4 | 13092 | MUTUAL SECURITIES, INC. | NO | NA | XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | XML | |
| 2024 | Q4 | 10409 | MML INVESTORS SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 15916 | SIGNAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 3013 | COLONIAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | NO | NA | XML | |
| 2024 | Q4 | 29249 | INSIGNEO SECURITIES, LLC | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2024 | Q4 | 1020 | CANACCORD GENUITY LLC | NO | NA | CSTI | |
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | DRIVEWEALTH, LLC | ||
| 2024 | Q4 | 3063 | E. E. POWELL & COMPANY INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 309955 | UNEST SECURITIES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 115547 | SAXONY SECURITIES, INC. | NO | NA | ||
| 2024 | Q4 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 31194 | RBC CAPITAL MARKETS, LLC | NO | NA | XML | |
| 2024 | Q4 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q4 | 37818 | MISCHLER FINANCIAL GROUP, INC. | NO | NA | ||
| 2025 | Q4 | 32889 | PRIME EXECUTIONS, INC. | NO | NA | ||
| 2025 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | NO | NA | XML | |
| 2025 | Q4 | 10409 | MML INVESTORS SERVICES, LLC | NO | NA | XML | |
| 2025 | Q4 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | NO | NA | XML | |
| 2025 | Q4 | 291456 | VIRTUS CAPITAL MARKETS LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q4 | 154926 | MCDERMOTT INVESTMENT SERVICES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q4 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | NO | NA | ||
| 2025 | Q4 | 299274 | ALTRUIST FINANCIAL LLC | NO | NA | ||
| 2025 | Q4 | 126292 | WELLS FARGO SECURITIES, LLC | NO | NA | XML | |
| 2025 | Q4 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q4 | 7059 | CITIGROUP GLOBAL MARKETS INC. | NO | NA | SBSH | |
| 2025 | Q4 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | ||
| 2025 | Q4 | 281065 | OUTSET GLOBAL TRADING LIMITED | YES - Disclosure | GOLDMAN SACHS & CO. LLC | XML | |
| 2025 | Q4 | 290605 | SAN BLAS SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q4 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2025 | Q4 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q4 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 315218 | SEMINARIO SECURITIES | NO | NA | MPID | |
| 2025 | Q4 | 8056 | YORK SECURITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q4 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | NO | NA | XML | |
| 2025 | Q4 | 138033 | GAR WOOD SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2025 | Q4 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q4 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q4 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 6564 | SF INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 17073 | UMB FINANCIAL SERVICES, INC. | NO | NA | ||
| 2025 | Q4 | 519 | LINCOLN INVESTMENT | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | NO | NA | XML | |
| 2025 | Q4 | 269966 | TORNADO | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | NO | NA | XML | |
| 2024 | Q4 | 19714 | BARCLAYS CAPITAL INC. | NO | NA | LEHM | |
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | VIRTU AMERICAS LLC | ||
| 2024 | Q4 | 7452 | VANGUARD MARKETING CORPORATION | NO | NA | ||
| 2024 | Q4 | 1175 | BARRETT & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 1252 | WILLIAM BLAIR | NO | NA | ||
| 2024 | Q4 | 7072 | CAPE SECURITIES INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 104233 | FLAGSTAR ADVISORS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | NO | NA | XML | |
| 2024 | Q4 | 30882 | CLARKSONS SECURITIES, INC | NO | NA | ||
| 2024 | Q4 | 316308 | OPTIVER EXECUTION SERVICES LLC | NO | NA | XML | |
| 2024 | Q4 | 10012 | WALL STREET ACCESS | NO | NA | XML | |
| 2024 | Q4 | 318437 | ARENS SECURITIES | YES - Disclosure | VELOCITY CLEARING, LLC | XML | |
| 2024 | Q4 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 10091 | LESKO SECURITIES INC. | NO | NA | ||
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML | |
| 2024 | Q4 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 18466 | CNR SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 32396 | VECTORGLOBAL WMG | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 286504 | ALLARIA SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 159481 | FENIX SECURITIES, LLC | NO | NA | XML | |
| 2025 | Q4 | 142374 | AVENTURA SECURITIES, LLC | NO | NA | ||
| 2025 | Q4 | 7477 | COLLIERS SECURITIES LLC | NO | NA | ||
| 2025 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | NO | NA | ||
| 2025 | Q4 | 17358 | M&T SECURITIES, INC. | NO | NA | XML | |
| 2025 | Q4 | 38923 | GVC CAPITAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q4 | 14559 | GILL CAPITAL PARTNERS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | NO | NA | XML | |
| 2025 | Q4 | 3777 | WILSON-DAVIS & CO., INC. | NO | NA | XML | |
| 2025 | Q4 | 44971 | HERNDON PLANT OAKLEY, LTD. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML |