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 | 24549 | FIRST DALLAS SECURITIES INCORPORATED | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q3 | 309955 | UNEST SECURITIES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 309574 | MONDEUM CAPITAL | No | NA | XML | |
| 2024 | Q4 | 104100 | M. S. HOWELLS & CO. | No | NA | XML | |
| 2024 | Q4 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | ||
| 2024 | Q4 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | XML | |
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. | No | PERSHING LLC | ||
| 2024 | Q4 | 566 | KEYBANC CAPITAL MARKETS INC. | No | NA | ||
| 2024 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | No | NA | ||
| 2024 | Q4 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | No | NA | XML | |
| 2024 | Q4 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | No | NA | XML | |
| 2024 | Q4 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 7353 | G.RESEARCH, LLC | No | NA | ||
| 2024 | Q4 | 6627 | EQUITABLE ADVISORS, LLC | No | NA | ||
| 2024 | Q4 | 8246 | OPAL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 14178 | REVERE SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 38770 | D.M. KELLY & COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 8478 | THURSTON SPRINGER FINANCIAL | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q2 | 282940 | TRADEZERO AMERICA, INC. | No | NA | ||
| 2024 | Q4 | 27954 | LOMBARD SECURITIES INCORPORATED | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML | |
| 2024 | Q4 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | No | NA | ||
| 2024 | Q4 | 18466 | CNR SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA | XML | |
| 2024 | Q4 | 1588 | DAVENPORT & COMPANY LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | No | NA | XML | |
| 2024 | Q4 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | XML | |
| 2024 | Q4 | 39262 | WESTERN INTERNATIONAL SECURITIES, INC. | No | NA | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | BTIG, LLC | ||
| 2024 | Q2 | 7784 | FIDELITY BROKERAGE SERVICES LLC | No | NA | ||
| 2024 | Q4 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q2 | 249 | OPPENHEIMER & CO. INC. | No | NA | ||
| 2024 | Q4 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | XML | |
| 2025 | Q1 | 24795 | JOSEPH GUNNAR & CO. LLC | No | NA | XML | |
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | No | NA | ||
| 2025 | Q1 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA | XML | |
| 2024 | Q2 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | No | NA | XML | |
| 2025 | Q1 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | No | NA | ||
| 2024 | Q2 | 25766 | HENNION & WALSH, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q1 | 104100 | M. S. HOWELLS & CO. | No | NA | XML | |
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | |
| 2025 | Q1 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | ||
| 2025 | Q1 | 285406 | MADISON GLOBAL PARTNERS LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML | |
| 2024 | Q2 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q1 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | No | NA | XML | |
| 2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 37059 | VICTORY CAPITAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q2 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q2 | 29280 | BANKOH INVESTMENT SERVICES, INC. | No | NA | XML | |
| 2025 | Q1 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q3 | 104387 | PGM GLOBAL INC. | No | NA | XML | |
| 2025 | Q1 | 103857 | USA FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 145276 | ETC BROKERAGE SERVICES, LLC | No | NA | XML | |
| 2025 | Q1 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 2764 | MESIROW FINANCIAL, INC. | No | NA | ||
| 2025 | Q1 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 17358 | M&T SECURITIES, INC. | No | NA | XML | |
| 2025 | Q1 | 125334 | CASTLEOAK SECURITIES, LP | No | NA | XML | |
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2025 | Q1 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | ALPACA SECURITIES LLC | ||
| 2025 | Q1 | 8174 | UBS FINANCIAL SERVICES INC. | No | NA | ||
| 2024 | Q3 | 10489 | CALDWELL SUTTER CAPITAL, INC. | No | NA | XML | |
| 2024 | Q3 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | No | NA | XML | |
| 2024 | Q3 | 291456 | VIRTUS CAPITAL MARKETS LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q2 | 32754 | MARK J. MULLER EQUITIES, INC. | No | NA | ||
| 2024 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | INSTINET, LLC | ||
| 2024 | Q3 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | No | NA | XML | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2024 | Q3 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q3 | 3618 | TRUBEE WEALTH ADVISORS, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q3 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | No | NA | XML | |
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | No | NA | ||
| 2024 | Q4 | 115368 | PARKLAND SECURITIES, LLC | No | NA | ||
| 2024 | Q3 | 46214 | NEXT FINANCIAL GROUP, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 15340 | CETERA INVESTMENT SERVICES LLC | No | NA | XML | |
| 2024 | Q4 | 10489 | CALDWELL SUTTER CAPITAL, INC. | No | NA | XML | |
| 2024 | Q4 | 36379 | LENOX FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 14143 | SYCAMORE FINANCIAL GROUP | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 16843 | FIRSTRADE SECURITIES INC. | No | NA | XML | |
| 2024 | Q4 | 120708 | MAXIM GROUP LLC | No | NA | XML | |
| 2024 | Q4 | 29249 | INSIGNEO SECURITIES, LLC | YES - Disclosure | STONEX FINANCIAL INC. | ||
| 2024 | Q4 | 167280 | JANE STREET EXECUTION SERVICES, LLC | No | NA | ||
| 2024 | Q4 | 24549 | FIRST DALLAS SECURITIES INCORPORATED | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 33038 | DRIVEWEALTH INSTITUTIONAL LLC | No | NA | ||
| 2024 | Q4 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 128929 | GWN SECURITIES INC. | YES - Disclosure | PERSHING LLC |