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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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted | Report Type | Context Sort descending |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | ||
| 2024 | Q2 | 173643 | UCAP AMERICAS - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 290215 | VELOX CLEARING LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 25706 | LIBERTY CAPITAL INVESTMENT CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 14143 | SYCAMORE FINANCIAL GROUP - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 | ||
| 2024 | Q2 | 16686 | BMO CAPITAL MARKETS CORP. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 149777 | MORGAN STANLEY | Self | 07/30/2024 | ||
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | ||
| 2024 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 139665 | BHK SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 120343 | INTEGRAL FINANCIAL LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 25706 | LIBERTY CAPITAL INVESTMENT CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43285 | M HOLDINGS SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7560 | PERSHING LLC | Self | 07/26/2024 | XML | |
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | Self | 10/08/2024 | ||
| 2024 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 288933 | CLEAR STREET LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 282480 | BULL MARKET SECURITIES, INC. | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | XML | |
| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 133760 | CAMBRIA CAPITAL, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 46987 | VIEWTRADE SECURITIES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3618 | TRUBEE WEALTH ADVISORS, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 104233 | FLAGSTAR ADVISORS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 6220 | HILLTOP SECURITIES INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 158599 | BOREAL CAPITAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | Self | 10/08/2024 | XML | |
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 6183 | C. L. KING & ASSOCIATES, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 159940 | BENCHMARK SECURITIES LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 14627 | FIRST SECURITIES NORTHWEST, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | XML | |
| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 140564 | REDBURN ATLANTIC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 120116 | THEMIS TRADING LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 6627 | EQUITABLE ADVISORS, LLC | Self | 07/29/2024 |