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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2024 | Q4 | 131607 | PACIFIC CENTURY SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | ||
| 2024 | Q4 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | XML | SPGLOBAL |
| 2024 | Q4 | 3013 | COLONIAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | CGWM | |
| 2024 | Q4 | 288202 | ALPACA SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 13251 | ROBOTTI SECURITIES, LLC | No | NA | ||
| 2024 | Q4 | 17530 | BOK FINANCIAL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 6888 | JONESTRADING | No | NA | PDF|XML | |
| 2024 | Q4 | 875 | WINTRUST INVESTMENTS LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 282331 | FORIS CAPITAL US LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 146193 | MIURA CAPITAL, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 39616 | STONECREST CAPITAL MARKETS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 16629 | ASHTON THOMAS SECURITIES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 10083 | GARDEN STATE SECURITIES, INC. | No | NA | ||
| 2024 | Q4 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 19524 | JOHNSON RICE & COMPANY L.L.C. | No | NA | ||
| 2024 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 18975 | DOMINARI SECURITIES LLC | No | NA | ||
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | RAJA |
| 2024 | Q4 | 128351 | SG AMERICAS SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 30773 | STONEX OUTSOURCED SERVICES LLC | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2024 | Q4 | 139107 | FIRST ASSET FINANCIAL INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 3777 | WILSON-DAVIS & CO., INC. | No | NA | XML | |
| 2024 | Q4 | 120708 | MAXIM GROUP LLC | No | NA | ||
| 2024 | Q4 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | STONEX1 | |
| 2024 | Q4 | 17912 | SOGOTRADE, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 39062 | UNITED BROKERAGE SERVICES, INC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 39944 | BAY CREST PARTNERS, LLC | No | NA | XML | |
| 2024 | Q4 | 13071 | APEX CLEARING CORPORATION | No | NA | XML | |
| 2024 | Q4 | 168047 | BCI SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 110942 | SENTINEL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 30177 | HUNTER ASSOCIATES LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 7560 | PERSHING LLC | No | NA | ||
| 2024 | Q4 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 29721 | GLOBALINK SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 7784 | FIDELITY BROKERAGE SERVICES LLC | No | NA | ||
| 2024 | Q4 | 124583 | J.W. COLE FINANCIAL, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 140278 | INLET SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | No | NA | XML | |
| 2024 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | No | NA | XML | |
| 2024 | Q4 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | No | NA | ||
| 2024 | Q4 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 290215 | VELOX CLEARING LLC | No | NA | ||
| 2024 | Q4 | 132091 | FNBB CAPITAL MARKETS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | CGWM | |
| 2024 | Q4 | 325118 | COMPOSER SECURITIES LLC | YES - Disclosure | ALPACA SECURITIES LLC | XML | |
| 2024 | Q4 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | No | NA | ||
| 2024 | Q4 | 2347 | JEFFERIES LLC | No | NA | ||
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 283965 | FOLIONET FINANCIAL LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 146667 | INTERCAM SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 115547 | SAXONY SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 39550 | CITIZENS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | No | NA | XML | MPID1 |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | RAJA | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2024 | Q4 | 142783 | MURRAY SECURITIES, INC. | No | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 36379 | LENOX FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 298361 | ETORO USA SECURITIES INC. | No | NA | ||
| 2024 | Q4 | 140341 | ELEVATION, LLC | No | NA | ||
| 2024 | Q4 | 46300 | TJM INVESTMENTS, LLC | No | NA | ||
| 2024 | Q4 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 7320 | SHEARMAN, RALSTON INC. | No | NA | XML | |
| 2024 | Q4 | 36866 | PLANNER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 173962 | BANKERS LIFE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 103723 | MAPLEWOOD INVESTMENTS, INC. | YES - Disclosure | FIDELITY BROKERAGE SERVICES LLC | ||
| 2024 | Q4 | 129052 | PNC INVESTMENTS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q4 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | No | NA | ||
| 2024 | Q4 | 10641 | CADARET, GRANT & CO., INC. | No | NA | ||
| 2024 | Q4 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | No | NA | XML | |
| 2024 | Q4 | 128929 | GWN SECURITIES INC. | No | NA | ||
| 2024 | Q4 | 25853 | RAYMOND JAMES (USA) LTD. | No | NA |