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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| 2026 | Q1 | 728 | ROTHSCHILD INVESTMENT LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 110942 | SENTINEL SECURITIES, LLC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q1 | 70 | BCG SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 104387 | PGM GLOBAL INC. | NO | NA | ||
| 2026 | Q2 | 566 | KEYBANC CAPITAL MARKETS INC. | NO | NA | XML | |
| 2026 | Q2 | 42180 | SUNBELT SECURITIES, INC. | NO | NA | ||
| 2026 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | NO | NA | ||
| 2026 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | NO | NA | ||
| 2026 | Q2 | 126291 | CAPFINANCIAL SECURITIES, LLC. | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 31741 | HALLIDAY FINANCIAL, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 7612 | R.M. STARK & CO., INC. | YES | PERSHING LLC | ||
| 2026 | Q2 | 22208 | CITIZENS JMP SECURITIES, LLC | NO | NA | XML | |
| 2026 | Q2 | 894 | WILLIAM O'NEIL SECURITIES | NO | NA | XML | |
| 2026 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | NO | NA | XML | STXG |
| 2026 | Q2 | 18975 | DOMINARI SECURITIES LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML | |
| 2026 | Q2 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2026 | Q2 | 6220 | HILLTOP SECURITIES INC. | NO | NA | XML | |
| 2026 | Q2 | 10091 | LESKO SECURITIES INC. | NO | NA | ||
| 2026 | Q2 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2026 | Q2 | 140988 | MD GLOBAL PARTNERS, LLC | YES | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q2 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q2 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | BTIG, LLC | ||
| 2026 | Q2 | 25899 | CRESAP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2026 | Q2 | 282940 | TRADEZERO AMERICA, INC. | NO | NA | ||
| 2026 | Q2 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2026 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | NO | NA | RBCCLEARINGCUSTODY | |
| 2026 | Q2 | 2347 | JEFFERIES LLC | NO | NA | XML | |
| 2026 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2026 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | NO | NA | XML | EDFP |
| 2026 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q2 | 7477 | COLLIERS SECURITIES LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2026 | Q1 | 2936 | THE O.N. EQUITY SALES COMPANY | NO | NA | XML | |
| 2026 | Q1 | 39301 | FINANCIAL SENSE SECURITIES, INC. | NO | NA | XML | |
| 2026 | Q1 | 5167 | NYLIFE SECURITIES LLC | NO | NA | ||
| 2026 | Q1 | 30362 | MONEX SECURITIES, INC. | NO | NA | ||
| 2026 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | ||
| 2026 | Q1 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2026 | Q1 | 199 | D.A. DAVIDSON & CO. | NO | NA | ||
| 2026 | Q1 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2026 | Q1 | 26001 | TOCQUEVILLE SECURITIES L.P. | NO | NA | ||
| 2026 | Q1 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | ||
| 2026 | Q1 | 324533 | PAVE SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2026 | Q1 | 149823 | VIRTU AMERICAS LLC | NO | NA | XML | |
| 2026 | Q1 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2026 | Q1 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | FIDELITY BROKERAGE SERVICES LLC | ||
| 2026 | Q1 | 318437 | QUANTFURY TRADING USA LLC | YES - Disclosure | VELOCITY CLEARING, LLC | XML | |
| 2026 | Q1 | 156691 | XP INVESTMENTS US, LLC | NO | NA | XML | |
| 2026 | Q1 | 124583 | J.W. COLE FINANCIAL, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q1 | 21544 | MIDDLEGATE SECURITIES INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2026 | Q1 | 316477 | DASTA FINANCIAL, LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2026 | Q1 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | XML | |
| 2026 | Q1 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q1 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2026 | Q1 | 5397 | DAVID LERNER ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q1 | 5397 | DAVID LERNER ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2026 | Q1 | 24795 | JOSEPH GUNNAR & CO. LLC | YES | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2026 | Q1 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q1 | 132701 | BANCO DO BRASIL SECURITIES LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 166756 | EPIC CAPITAL SECURITIES | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q1 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 35371 | OSAIC INSTITUTIONS, INC. | NO | NA | ||
| 2026 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | NO | NA | ||
| 2026 | Q1 | 47768 | FERRETTI GROUP, INC. | NO | NA | ||
| 2026 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | NO | NA | ||
| 2026 | Q2 | 39473 | TRADESTATION SECURITIES, INC. | NO | NA | XML | |
| 2026 | Q2 | 317278 | INTER SECURITIES LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 16629 | ASHTON THOMAS SECURITIES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 2764 | MESIROW FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 628 | FIFTH THIRD SECURITIES, INC. | NO | NA | FTSR | |
| 2026 | Q2 | 31793 | FINANCORP GROUP INTERNATIONAL CORPORATION | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2026 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION | YES - Disclosure | BOFA SECURITIES, INC. | XML | |
| 2026 | Q1 | 136300 | KEY INVESTMENT SERVICES LLC | NO | NA | ||
| 2026 | Q2 | 159712 | CABOT LODGE SECURITIES LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | EQUITIES |
| 2026 | Q2 | 326979 | ZOE SECURITIES LLC | NO | NA | XML | |
| 2026 | Q2 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2026 | Q2 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | VIRTU AMERICAS LLC | XML | |
| 2026 | Q2 | 7927 | NORTHERN TRUST SECURITIES, INC. | NO | NA | ||
| 2026 | Q2 | 117176 | AXOS CLEARING LLC | NO | NA | XML | |
| 2026 | Q2 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q2 | 132078 | COBRA TRADING, INC. | NO | NA | XML | CBRV |
| 2026 | Q2 | 46350 | TRADE-PMR INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2026 | Q2 | 29931 | ANDREW GARRETT INC. | NO | NA | XML | |
| 2026 | Q2 | 45993 | STONEX FINANCIAL INC. | NO | NA | XML | |
| 2026 | Q2 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2026 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | YES | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2026 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2026 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2026 | Q2 | 318437 | QUANTFURY TRADING USA LLC | YES - Disclosure | VELOCITY CLEARING, LLC | XML | |
| 2026 | Q2 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q1 | 18476 | TD SECURITIES (USA) LLC | NO | NA | ||
| 2026 | Q1 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | XML | CHBC |
| 2026 | Q1 | 316232 | CIBEST CAPITAL SECURITIES, LLC | NO | NA | XML |