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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| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | NO | NA | ||
| 2025 | Q1 | 282940 | TRADEZERO AMERICA, INC. | NO | NA | ||
| 2024 | Q3 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | NO | NA | XML | |
| 2025 | Q1 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | XML | |
| 2024 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | NO | NA | ||
| 2024 | Q2 | 281065 | OUTSET GLOBAL TRADING LIMITED | NO | NA | XML | |
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | NO | NA | ||
| 2025 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | NO | NA | ||
| 2025 | Q1 | 36418 | INTERACTIVE BROKERS LLC | NO | NA | ||
| 2024 | Q2 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q3 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q3 | 149486 | BTG PACTUAL US CAPITAL, LLC | NO | NA | ||
| 2025 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q1 | 292589 | AVENUE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q3 | 134 | CANTOR FITZGERALD & CO. | NO | NA | XML | |
| 2025 | Q3 | 47215 | SECURITIES EQUITY GROUP | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q1 | 148137 | SABADELL SECURITIES USA, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 38123 | BRINKER CAPITAL SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 15650 | BOLTON GLOBAL CAPITAL | NO | NA | XML | |
| 2025 | Q1 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 5376 | MURIEL SIEBERT & CO., LLC | NO | NA | XML | |
| 2025 | Q3 | 282331 | FORIS CAPITAL US LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2025 | Q1 | 18437 | SATURNA BROKERAGE SERVICES, INC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 139515 | MCAP LLC | NO | NA | ||
| 2025 | Q3 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q1 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 6220 | HILLTOP SECURITIES INC. | NO | NA | XML | |
| 2025 | Q3 | 121196 | MCNALLY FINANCIAL SERVICES CORPORATION | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q1 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q3 | 306255 | PRISM FINANCIAL PRODUCTS LP | NO | NA | XML | |
| 2025 | Q3 | 2764 | MESIROW FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q1 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q3 | 287900 | ROBINHOOD SECURITIES, LLC | NO | NA | XML | |
| 2025 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2024 | Q3 | 283078 | MOOMOO FINANCIAL INC. | NO | NA | ||
| 2025 | Q1 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC | NO | NA | ||
| 2025 | Q4 | 375 | H.C.WAINWRIGHT & CO., LLC | NO | NA | XML | |
| 2024 | Q4 | 104026 | BROAD STREET CAPITAL MARKETS, LLC | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q4 | 32889 | PRIME EXECUTIONS, INC. | NO | NA | XML | |
| 2025 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | NO | NA | XML | |
| 2024 | Q3 | 145589 | XML SECURITIES | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q4 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | NO | NA | XML | |
| 2025 | Q2 | 130645 | DAWSON JAMES SECURITIES, INC. | NO | NA | XML | |
| 2024 | Q3 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q3 | 138033 | GAR WOOD SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2025 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | NO | NA | XML | |
| 2025 | Q4 | 107403 | SPEEDTRADER, INC | NO | NA | ||
| 2025 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | NO | NA | XML | |
| 2024 | Q3 | 313329 | OPTIONALITY SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2025 | Q4 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | NO | NA | ||
| 2025 | Q4 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | VIRTU AMERICAS LLC | ||
| 2024 | Q4 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | NO | NA | ||
| 2025 | Q4 | 159940 | BENCHMARK SECURITIES LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q2 | 148743 | SPIDERROCK EXS, LLC | NO | NA | XML | |
| 2024 | Q4 | 18975 | DOMINARI SECURITIES LLC | NO | NA | ||
| 2025 | Q4 | 5376 | MURIEL SIEBERT & CO., LLC | NO | NA | XML | |
| 2025 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | NO | NA | XML | |
| 2024 | Q3 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | NO | NA | ||
| 2024 | Q3 | 151085 | HARBOR INVESTMENT ADVISORY, LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q4 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q2 | 28684 | GBM INTERNATIONAL, INC. | NO | NA | ||
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. | YES | PERSHING LLC | XML | |
| 2025 | Q4 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | XML | |
| 2025 | Q2 | 269966 | TORNADO | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q3 | 4173 | ONEAMERICA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q4 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | ||
| 2025 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | NO | NA | XML | |
| 2025 | Q4 | 44181 | NATIONS FINANCIAL GROUP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2025 | Q2 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q4 | 128351 | SG AMERICAS SECURITIES, LLC | NO | NA | XML | |
| 2025 | Q4 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | NO | NA | XML | |
| 2025 | Q2 | 288202 | ALPACA SECURITIES LLC | NO | NA | XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2025 | Q4 | 282331 | FORIS CAPITAL US LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2025 | Q2 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOX CLEARING LLC | XML | |
| 2024 | Q4 | 142783 | MURRAY SECURITIES, INC. | YES | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q4 | 29721 | GLOBALINK SECURITIES, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2025 | Q2 | 25899 | CRESAP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q4 | 288933 | CLEAR STREET LLC | NO | NA | XML | |
| 2025 | Q2 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 298361 | ETORO USA SECURITIES INC. | NO | NA | ||
| 2025 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q2 | 7336 | FIRST TRYON SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 150696 | SANTANDER US CAPITAL MARKETS LLC | NO | NA | ||
| 2025 | Q4 | 29037 | SYNDICATED CAPITAL, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q2 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 306255 | PRISM FINANCIAL PRODUCTS LP | NO | NA | XML | |
| 2025 | Q4 | 18437 | SATURNA BROKERAGE SERVICES, INC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 10674 | NEWEDGE SECURITIES, LLC | NO | NA | XML | |
| 2024 | Q4 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | XML | |
| 2025 | Q4 | 146251 | SPARTAN CAPITAL SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q2 | 130032 | EMERSON EQUITY LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 46350 | TRADE-PMR INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC |