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 | 103723 | MAPLEWOOD INVESTMENTS, INC. | YES - Disclosure | FIDELITY BROKERAGE SERVICES LLC | ||
| 2025 | Q1 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 2347 | JEFFERIES LLC | No | NA | XML | |
| 2025 | Q1 | 4173 | ONEAMERICA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q1 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | XML | |
| 2025 | Q1 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q3 | 287900 | ROBINHOOD SECURITIES, LLC | No | NA | ||
| 2024 | Q3 | 42132 | CUSO FINANCIAL SERVICES, L.P. | No | NA | ||
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | ||
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2024 | Q3 | 128089 | CARY STREET PARTNERS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q3 | 3618 | TRUBEE WEALTH ADVISORS, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q3 | 313329 | OPTIONALITY SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | ||
| 2024 | Q4 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | XML | |
| 2024 | Q4 | 26460 | R.W.PRESSPRICH & CO. | No | NA | ||
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 37059 | VICTORY CAPITAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 120583 | US TIGER SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 149777 | MORGAN STANLEY | No | NA | XML | |
| 2024 | Q4 | 18637 | COOPER MALONE MCCLAIN, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 104021 | CHOICETRADE | No | NA | ||
| 2024 | Q4 | 281867 | OLD MISSION MARKETS LLC | No | NA | ||
| 2024 | Q4 | 8246 | OPAL SECURITIES, INC. | No | NA | ||
| 2024 | Q4 | 25427 | CFD INVESTMENTS, INC. | No | NA | ||
| 2024 | Q4 | 44181 | NATIONS FINANCIAL GROUP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 36538 | CELADON FINANCIAL GROUP LLC | No | NA | ||
| 2024 | Q2 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | XML | |
| 2024 | Q4 | 151085 | HARBOR INVESTMENT ADVISORY, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 103857 | USA FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 3063 | E. E. POWELL & COMPANY INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q1 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | ||
| 2024 | Q2 | 114203 | GREAT POINT CAPITAL LLC | No | NA | XML | |
| 2025 | Q1 | 25427 | CFD INVESTMENTS, INC. | No | NA | ||
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | No | NA | XML | |
| 2025 | Q1 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | No | NA | XML | |
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | No | NA | ||
| 2025 | Q1 | 313305 | GREEN PIER FINTECH LLC | No | NA | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2025 | Q1 | 283701 | MARKET SECURITIES, LLC | No | NA | ||
| 2024 | Q2 | 128089 | CARY STREET PARTNERS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 29931 | ANDREW GARRETT INC. | No | NA | ||
| 2024 | Q2 | 132078 | COBRA TRADING, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | ||
| 2025 | Q1 | 665 | PIPER SANDLER & CO. | No | NA | XML | |
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q1 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q2 | 142783 | MURRAY SECURITIES, INC. | No | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 120343 | INTEGRAL FINANCIAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q2 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q1 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | No | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | No | NA | ||
| 2025 | Q1 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q2 | 250 | EDWARD JONES | No | NA | XML | |
| 2025 | Q1 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q1 | 1252 | WILLIAM BLAIR | No | NA | XML | |
| 2024 | Q3 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | No | NA | ||
| 2024 | Q2 | 3496 | STEPHENS | No | NA | ||
| 2025 | Q1 | 316308 | OPTIVER EXECUTION SERVICES LLC | No | NA | XML | |
| 2024 | Q3 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | No | NA | ||
| 2024 | Q2 | 164484 | TD PRIVATE CLIENT WEALTH LLC | No | NA | ||
| 2025 | Q1 | 25425 | HOVDE GROUP, LLC | No | NA | ||
| 2024 | Q3 | 299274 | ALTRUIST FINANCIAL LLC | No | NA | ||
| 2024 | Q2 | 149823 | VIRTU AMERICAS LLC | No | NA | ||
| 2025 | Q1 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | DRIVEWEALTH, LLC | XML | |
| 2024 | Q3 | 150696 | SANTANDER US CAPITAL MARKETS LLC | No | NA | ||
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC | YES - Disclosure | DRIVEWEALTH, LLC | XML | |
| 2025 | Q1 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | No | NA | XML | |
| 2024 | Q3 | 25425 | HOVDE GROUP, LLC | No | NA | XML | |
| 2024 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | No | NA | ||
| 2025 | Q1 | 324533 | PAVE SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q3 | 17839 | THE INVESTMENT CENTER, INC. | No | NA | ||
| 2024 | Q4 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q3 | 1763 | GROVE POINT INVESTMENTS, LLC | No | NA | ||
| 2025 | Q1 | 205 | SANCTUARY SECURITIES, INC. | No | NA | ||
| 2024 | Q3 | 153407 | WEALTHFRONT BROKERAGE LLC | No | NA | ||
| 2025 | Q1 | 286504 | ALLARIA SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 13041 | NATIONAL FINANCIAL SERVICES LLC | No | NA | ||
| 2025 | Q1 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 28684 | GBM INTERNATIONAL, INC. | No | NA | ||
| 2025 | Q1 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 46047 | HANTZ FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q1 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 7413 | ISAAK BOND INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q1 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q1 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q3 | 318437 | ARENS SECURITIES | YES - Disclosure | VELOCITY CLEARING, LLC | ||
| 2024 | Q3 | 156175 | KAYAN SECURITIES, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | XML |