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 | Q4 | 138033 | GAR WOOD SECURITIES, LLC | No | NA | XML | GRWD |
| 2024 | Q4 | 316641 | FREC SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | XML | |
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | No | NA | PDF|XML | NFSC |
| 2024 | Q4 | 26460 | R.W.PRESSPRICH & CO. | No | NA | PDF|XML | |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | XML | RAJA |
| 2024 | Q4 | 120583 | US TIGER SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | EFGBANK | |
| 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 | PDF|XML | |
| 2024 | Q4 | 8246 | OPAL SECURITIES, INC. | No | NA | ||
| 2024 | Q4 | 25427 | CFD INVESTMENTS, INC. | No | NA | PDF|XML | |
| 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 | 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 | 43035 | SOUTHEAST INVESTMENTS, N.C., INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 104233 | FLAGSTAR ADVISORS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 41608 | FINTRUST BROKERAGE SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 375 | H.C.WAINWRIGHT & CO., LLC | No | NA | XML | |
| 2024 | Q4 | 38964 | CREAND SECURITIES | No | NA | XML | |
| 2024 | Q4 | 47768 | FERRETTI GROUP, INC. | No | NA | XML | |
| 2024 | Q4 | 17868 | U.S. BANCORP INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | EQUITY |
| 2024 | Q4 | 104651 | STATETRUST INVESTMENTS INC. | No | NA | ||
| 2024 | Q4 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | XML | MPSG |
| 2024 | Q4 | 46047 | HANTZ FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | No | NA | XML | |
| 2024 | Q4 | 38105 | FMN CAPITAL CORPORATION | No | NA | ||
| 2024 | Q4 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | SBSH | |
| 2024 | Q4 | 282480 | BULL MARKET SECURITIES, INC. | YES - Disclosure | STONEX FINANCIAL INC. | ||
| 2024 | Q4 | 10740 | PROSPERA FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 316281 | FENNEL | No | NA | ||
| 2024 | Q4 | 25899 | CRESAP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 142271 | VISION FINANCIAL MARKETS LLC | No | NA | XML | |
| 2024 | Q4 | 325118 | COMPOSER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 35800 | PHILLIPS & COMPANY | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 14458 | INVESTMENT PLACEMENT GROUP | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 148743 | SPIDERROCK EXS, LLC | No | NA | XML | |
| 2024 | Q4 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | CURVATURE SECURITIES LLC | ||
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA | ||
| 2024 | Q4 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | RAJA |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PERSHING | |
| 2024 | Q4 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 14143 | SYCAMORE FINANCIAL GROUP | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | CNFR | |
| 2024 | Q4 | 122225 | BTIG, LLC | No | NA | XML | |
| 2024 | Q4 | 44971 | HERNDON PLANT OAKLEY, LTD. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 3618 | TRUBEE WEALTH ADVISORS, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | No | NA | XML | |
| 2024 | Q4 | 149758 | J.V.B. FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 47487 | LANDAAS & COMPANY | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 25853 | RAYMOND JAMES (USA) LTD. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 117176 | AXOS CLEARING LLC | No | NA | XML | |
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 265 | EQUITY SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 32029 | KA ASSOCIATES, LLC | No | NA | ||
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | ||
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PNSR | |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | EQUITY |