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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 Sort descending | Date Submitted | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 10/28/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | XML | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 10/28/2024 | ||
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 10/28/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | XML | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 10/28/2024 | XML | |
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | ||
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | XML | |
| 2024 | Q3 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 10/25/2024 | ||
| 2024 | Q3 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 10/25/2024 | XML | |
| 2024 | Q3 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 309955 | UNEST SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 313329 | OPTIONALITY SECURITIES - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 316477 | DASTA FINANCIAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 309955 | UNEST SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 313329 | OPTIONALITY SECURITIES - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 316477 | DASTA FINANCIAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 146251 | SPARTAN CAPITAL SECURITIES, LLC - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML |