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 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q4 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q4 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q4 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q4 | 120719 | WOLVERINE EXECUTION SERVICES, LLC | NO | NA | XML | |
| 2025 | Q4 | 285406 | MADISON GLOBAL PARTNERS LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2025 | Q4 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOCITY CLEARING, LLC | XML | |
| 2025 | Q4 | 1175 | BARRETT & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q4 | 131453 | HENLEY & COMPANY LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 32460 | FIRST HEARTLAND CAPITAL, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q4 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 8096 | POPULAR SECURITIES, LLC | NO | NA | XML | |
| 2025 | Q4 | 316477 | DASTA FINANCIAL, LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | NO | NA | PERSHING7560GWFS | |
| 2024 | Q4 | 15768 | NOBLE CAPITAL MARKETS, INC. | NO | NA | XML | |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | RAJA | |
| 2024 | Q4 | 17776 | ZIONS DIRECT, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2024 | Q4 | 894 | WILLIAM O'NEIL SECURITIES | NO | NA | ||
| 2024 | Q4 | 283942 | BOFA SECURITIES, INC. | NO | NA | XML | |
| 2024 | Q4 | 18637 | COOPER MALONE MCCLAIN, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 6220 | HILLTOP SECURITIES INC. | NO | NA | ||
| 2024 | Q4 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | ||
| 2024 | Q4 | 249 | OPPENHEIMER & CO. INC. | NO | NA | ||
| 2024 | Q4 | 173643 | UCAP AMERICAS | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2024 | Q4 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 314549 | NORTHBOUND SECURITIES LLC | YES - Disclosure | DRIVEWEALTH, LLC | ||
| 2024 | Q4 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 313329 | OPTIONALITY SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 15548 | RCM SECURITIES | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 7763 | CENTENNIAL SECURITIES COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 26001 | TOCQUEVILLE SECURITIES L.P. | NO | NA | ||
| 2025 | Q4 | 120116 | THEMIS TRADING LLC | NO | NA | ||
| 2025 | Q4 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | NO | NA | ||
| 2025 | Q4 | 107403 | SPEEDTRADER, INC | NO | NA | XML | |
| 2025 | Q4 | 125393 | FIRST BALLANTYNE, LLC | NO | NA | XML | |
| 2025 | Q4 | 41067 | DMK ADVISOR GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q4 | 159940 | BENCHMARK SECURITIES LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q4 | 5376 | MURIEL SIEBERT & CO., LLC | NO | NA | ||
| 2025 | Q4 | 21821 | CATHAY SECURITIES, INC. | YES - Disclosure | VELOX CLEARING LLC | ||
| 2025 | Q4 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | NO | NA | XML | BKES |
| 2025 | Q4 | 8365 | AMUNI FINANCIAL, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q4 | 7059 | CITIGROUP GLOBAL MARKETS INC. | NO | NA | XML | SBSH |
| 2025 | Q4 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | XML | |
| 2025 | Q4 | 281065 | OUTSET GLOBAL TRADING LIMITED | YES - Disclosure | GOLDMAN SACHS & CO. LLC | ||
| 2025 | Q4 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2025 | Q4 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2025 | Q4 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q4 | 46749 | GEORGESON SECURITIES CORPORATION | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2025 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q4 | 286504 | ALLARIA SECURITIES, LLC | NO | NA | XML | MPID |
| 2025 | Q4 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q4 | 153906 | QUANTRIVER FINANCIAL, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 17486 | G. A. REPPLE & COMPANY | NO | NA | ||
| 2025 | Q4 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q4 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q4 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q4 | 7560 | PERSHING LLC | NO | NA | XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | NO | NA | ||
| 2025 | Q4 | 728 | ROTHSCHILD INVESTMENT LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | NO | NA | ||
| 2025 | Q4 | 282331 | FORIS CAPITAL US LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | NO | NA | XML | |
| 2024 | Q4 | 285852 | STATE STREET GLOBAL MARKETS, LLC | NO | NA | ||
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | VIRTU AMERICAS LLC | XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | ||
| 2024 | Q4 | 23131 | OSAIC WEALTH, INC. | NO | NA | XML | |
| 2024 | Q4 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 7336 | FIRST TRYON SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 41067 | DMK ADVISOR GROUP, INC. | NO | NA | XML | |
| 2024 | Q4 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | NO | NA | XML | |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | NO | NA | XML | |
| 2024 | Q4 | 7654 | UBS SECURITIES LLC | NO | NA | XML | |
| 2024 | Q4 | 326979 | ZOE SECURITIES LLC | NO | NA | ||
| 2024 | Q4 | 8365 | AMUNI FINANCIAL, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 7691 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NO | NA | ||
| 2024 | Q4 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | J.P. MORGAN SECURITIES LLC | ||
| 2025 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | NO | NA | XML | |
| 2025 | Q4 | 41791 | SANTANDER SECURITIES LLC | NO | NA | ||
| 2025 | Q4 | 11869 | PLANMEMBER SECURITIES CORPORATION | NO | NA | ||
| 2025 | Q4 | 143189 | MEDIOBANCA SECURITIES USA LLC | NO | NA |