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.
| Year | Quarter | Firm CRD Sort descending | Firm | Order Routing / Clearing Firm | Date Submitted | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | ||
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | CSTI | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | CSTI |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | ADAM | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | ADAM |
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 103705 | CITY NATIONAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103705 | CITY NATIONAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | SPGLOBAL | |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | SPGLOBAL |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | NFS |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | NFS | |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/03/2024 | XML | SPGLOBAL |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/03/2024 | SPGLOBAL | |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID1 | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | XML | MPID1 |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID2 | |
| 2024 | Q2 | 103857 | USA FINANCIAL SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 103857 | USA FINANCIAL SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | ||
| 2024 | Q2 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | ||
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 104233 | FLAGSTAR ADVISORS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 104233 | FLAGSTAR ADVISORS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 07/25/2024 | ||
| 2024 | Q2 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | ||
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. | Self | 08/14/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | ||
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 10641 | CADARET, GRANT & CO., INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 10674 | NEWEDGE SECURITIES, INC. | Self | 09/06/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 07/11/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | SBSH | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | XML | SBSH |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | CGWM |