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 | Firm Sort descending | Order Routing / Clearing Firm | Date Submitted | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 3767 | &PARTNERS | Self | 07/29/2024 | NFS | |
| 2024 | Q2 | 3767 | &PARTNERS | Self | 07/29/2024 | XML | NFS |
| 2024 | Q2 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | ||
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID1 | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID2 | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID2 |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID1 |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 26193 | ALAMO CAPITAL | Self | 09/25/2024 | ||
| 2024 | Q2 | 286504 | ALLARIA SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 286504 | ALLARIA SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | ||
| 2024 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | Self | 10/01/2024 | ||
| 2024 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | Self | 10/01/2024 | XML | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 29678 | AMERICAN HERITAGE SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 29678 | AMERICAN HERITAGE SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | PERSHING | |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | XML | PERSHING |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | ||
| 2024 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 29931 | ANDREW GARRETT INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 29931 | ANDREW GARRETT INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | ||
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML |