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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 Sort ascending | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q3 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 10/08/2024 | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | Self | 10/02/2024 | ||
| 2024 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | Self | 10/02/2024 | XML | |
| 2024 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 309574 | MONDEUM CAPITAL | Self | 10/03/2024 | ||
| 2024 | Q3 | 120116 | THEMIS TRADING LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 309574 | MONDEUM CAPITAL | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | Self | 10/08/2024 | ||
| 2024 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 10/03/2024 | ||
| 2024 | Q3 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 6271 | TRUIST SECURITIES, INC. | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/03/2024 | XML | SPGLOBAL |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/03/2024 | SPGLOBAL | |
| 2024 | Q3 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 10/04/2024 | ||
| 2024 | Q3 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 10/04/2024 | XML | |
| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 10/07/2024 | ||
| 2024 | Q3 | 120116 | THEMIS TRADING LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 165533 | CLSA AMERICAS, LLC | Self | 10/07/2024 | ||
| 2024 | Q3 | 165533 | CLSA AMERICAS, LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 10/07/2024 | ||
| 2024 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 165828 | LION STREET FINANCIAL, LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 165828 | LION STREET FINANCIAL, LLC | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 301273 | IMC EXECUTION SERVICES | Self | 10/01/2024 | ||
| 2024 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 07/31/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID1 | |
| 2024 | Q2 | 505 | LADENBURG THALMANN & CO. INC. | Self | 09/05/2024 | XML | |
| 2024 | Q2 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 22373 | NAVIGATOR SECURITIES LIMITED - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | Self | 07/09/2024 | ||
| 2024 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 | ||
| 2024 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 07/30/2024 | ||
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 133715 | SWBC INVESTMENT SERVICES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | XML | |
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 115368 | PARKLAND SECURITIES, LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 199 | D.A. DAVIDSON & CO. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 301273 | IMC EXECUTION SERVICES | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | MPSG |
| 2024 | Q2 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 39262 | WESTERN INTERNATIONAL SECURITIES, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 316281 | FENNEL | Self | 07/31/2024 | ||
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID2 | |
| 2024 | Q2 | 28684 | GBM INTERNATIONAL, INC. | Self | 09/05/2024 | ||
| 2024 | Q2 | 44971 | HERNDON PLANT OAKLEY, LTD. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 103705 | CITY NATIONAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 3013 | COLONIAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 149758 | J.V.B. FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 4173 | ONEAMERICA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | SPGLOBAL | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/30/2024 | MPSG |