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 | Q2 | 39164 | 1ST DISCOUNT BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2026 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | NO | NA | ||
| 2026 | Q2 | 42180 | SUNBELT SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2026 | Q1 | 145276 | ETC BROKERAGE SERVICES, LLC | NO | NA | ||
| 2026 | Q1 | 128929 | GWN SECURITIES INC. | NO | NA | ||
| 2026 | Q1 | 308213 | DIGITAL BROKERAGE SERVICES LLC | NO | NA | ||
| 2026 | Q1 | 3496 | STEPHENS | NO | NA | XML | |
| 2026 | Q1 | 19647 | MIZUHO SECURITIES USA LLC | NO | NA | ||
| 2026 | Q1 | 14762 | COORDINATED CAPITAL SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2026 | Q1 | 628 | FIFTH THIRD SECURITIES, INC. | NO | NA | FTSR | |
| 2026 | Q1 | 42847 | POLAR INVESTMENT COUNSEL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2026 | Q1 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | YES | HILLTOP SECURITIES INC. | XML | |
| 2026 | Q1 | 23723 | BREAN CAPITAL, LLC | NO | NA | ||
| 2026 | Q1 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | NO | NA | XML | |
| 2026 | Q1 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | VIRTU AMERICAS LLC | ||
| 2026 | Q1 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2026 | Q1 | 103792 | D. BORAL CAPITAL | NO | NA | XML | RBCWM |
| 2026 | Q1 | 318437 | QUANTFURY TRADING USA LLC | YES - Disclosure | VELOCITY CLEARING, LLC | ||
| 2026 | Q1 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOX CLEARING LLC | ||
| 2026 | Q1 | 20626 | WORLD INVESTMENTS, LLC | NO | NA | ||
| 2026 | Q1 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2026 | Q1 | 298361 | ETORO USA SECURITIES INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2026 | Q1 | 46001 | HOLISTIC BROKERAGE, LLC | NO | NA | ||
| 2026 | Q1 | 140988 | MD GLOBAL PARTNERS, LLC | YES | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q1 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q1 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2026 | Q1 | 3998 | JACK V. BUTTERFIELD INVESTMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2026 | Q1 | 18234 | LEMLEY, YARLING & CO. | YES | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2026 | Q1 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q1 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q1 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q1 | 315086 | BGV SECURITIES | NO | NA | MPID | |
| 2026 | Q2 | 13572 | CETERA WEALTH SERVICES, LLC | NO | NA | ||
| 2026 | Q2 | 11869 | PLANMEMBER SECURITIES CORPORATION | NO | NA | XML | |
| 2026 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | NO | NA | ||
| 2026 | Q1 | 40118 | EFG CAPITAL INTERNATIONAL | NO | NA | EFGBANK | |
| 2026 | Q2 | 38105 | FMN CAPITAL CORPORATION | NO | NA | ||
| 2026 | Q2 | 297287 | IFP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q2 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 519 | LINCOLN INVESTMENT | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 104982 | TRADIER BROKERAGE, INC. | NO | NA | ||
| 2026 | Q2 | 16569 | ALLIED MILLENNIAL PARTNERS, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2026 | Q2 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2026 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | EQUITIES |
| 2026 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | NO | NA | XML | BKES |
| 2026 | Q2 | 25590 | PEACHCAP SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2026 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | VIRTU AMERICAS LLC | ||
| 2026 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | NO | NA | ||
| 2026 | Q2 | 103792 | D. BORAL CAPITAL | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2026 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q2 | 42578 | LIEBLONG & ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2026 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2026 | Q2 | 282480 | BULL MARKET SECURITIES, INC. | YES - Disclosure | STONEX FINANCIAL INC. | ||
| 2026 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | YES | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2026 | Q2 | 290605 | SAN BLAS SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2026 | Q2 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2026 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2026 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | NO | NA | XML | |
| 2026 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | NO | NA | XML | |
| 2026 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q1 | 35371 | OSAIC INSTITUTIONS, INC. | NO | NA | XML | |
| 2026 | Q1 | 42803 | VALIC FINANCIAL ADVISORS, INC. | NO | NA | INFO | |
| 2026 | Q1 | 2002 | GILDER GAGNON HOWE & CO. LLC | NO | NA | ||
| 2026 | Q1 | 18975 | DOMINARI SECURITIES LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | XML | |
| 2026 | Q1 | 25766 | HENNION & WALSH, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2026 | Q1 | 2525 | DEUTSCHE BANK SECURITIES INC. | NO | NA | XML | |
| 2026 | Q1 | 6183 | C. L. KING & ASSOCIATES, INC. | NO | NA | ||
| 2026 | Q1 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2026 | Q1 | 7654 | UBS SECURITIES LLC | NO | NA | XML | |
| 2026 | Q1 | 120002 | OBEX SECURITIES LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2026 | Q1 | 330599 | GALAXY SECURITIES, LLC | NO | NA | XML | |
| 2026 | Q1 | 277027 | TASTYTRADE, INC. | NO | NA | XML | |
| 2026 | Q1 | 15407 | ROTH CAPITAL PARTNERS, LLC | NO | NA | XML | |
| 2026 | Q1 | 38964 | CREAND SECURITIES | NO | NA | XML | |
| 2026 | Q1 | 8246 | OPAL SECURITIES, INC. | NO | NA | XML | |
| 2026 | Q1 | 42060 | OBERWEIS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2026 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2026 | Q1 | 10012 | WALL STREET ACCESS | NO | NA | ||
| 2026 | Q1 | 171350 | CRAFT CAPITAL MANAGEMENT LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q1 | 171350 | CRAFT CAPITAL MANAGEMENT LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2026 | Q1 | 140988 | MD GLOBAL PARTNERS, LLC | YES | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2026 | Q1 | 7763 | CENTENNIAL SECURITIES COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2026 | Q1 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2026 | Q1 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q1 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 14458 | INVESTMENT PLACEMENT GROUP | YES - Disclosure | PERSHING LLC | XML | |
| 2026 | Q1 | 46214 | NEXT FINANCIAL GROUP, INC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q1 | 8052 | CREWS & ASSOCIATES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | NO | NA | ||
| 2026 | Q1 | 297029 | PRIME NUMBER CAPITAL, LLC | YES - Disclosure | CURVATURE SECURITIES LLC | XML | |
| 2026 | Q2 | 1042 | ALLEN & COMPANY LLC | NO | NA | XML | |
| 2026 | Q2 | 6627 | EQUITABLE ADVISORS, LLC | NO | NA |