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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 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | 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 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 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 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | 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 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 30773 | STONEX OUTSOURCED SERVICES LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | BTIG, LLC | 07/30/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | BTIG, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 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 | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | XML | CGWM |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | XML | |
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | ||
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 2024 | Q2 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 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 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 127473 | KCD FINANCIAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 36379 | LENOX FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 173847 | OLDEN LANE SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37711 | STOCK TRADERS - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 47770 | CHELSEA FINANCIAL SERVICES - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 132091 | FNBB CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 132091 | FNBB CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 46047 | HANTZ FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML |