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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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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 | Q4 | 8096 | POPULAR SECURITIES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 20626 | WORLD INVESTMENTS, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 10409 | MML INVESTORS SERVICES, LLC | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 8096 | POPULAR SECURITIES, LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | Self | 01/17/2025 | ||
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/09/2025 | XML | MPID1 |
| 2024 | Q4 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 01/15/2025 | XML | PERSHING7560GWFS |
| 2024 | Q4 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 01/13/2025 | ||
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/09/2025 | XML | MPID2 |
| 2024 | Q4 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 01/15/2025 | PERSHING7560GWFS | |
| 2024 | Q4 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 01/17/2025 | ||
| 2024 | Q4 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Self | 01/09/2025 | ||
| 2024 | Q4 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 18975 | DOMINARI SECURITIES LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 01/03/2025 | ||
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 01/13/2025 | ||
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 01/03/2025 | XML | |
| 2024 | Q4 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 10641 | CADARET, GRANT & CO., INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 2764 | MESIROW FINANCIAL, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 39914 | WESTPARK CAPITAL, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/06/2025 | MPID1 | |
| 2024 | Q4 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 129052 | PNC INVESTMENTS | Self | 01/14/2025 | ||
| 2024 | Q4 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 01/17/2025 | ||
| 2024 | Q4 | 12963 | MONEY CONCEPTS CAPITAL CORP | Self | 01/10/2025 | ||
| 2024 | Q4 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 39914 | WESTPARK CAPITAL, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 6271 | TRUIST SECURITIES, INC. | Self | 01/06/2025 | XML | |
| 2024 | Q4 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 129052 | PNC INVESTMENTS | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 41139 | ALTERNA SECURITIES, INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 6271 | TRUIST SECURITIES, INC. | Self | 01/06/2025 | ||
| 2024 | Q4 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 01/17/2025 | ||
| 2024 | Q4 | 41139 | ALTERNA SECURITIES, INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/06/2025 | MPID2 | |
| 2024 | Q4 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 01/17/2025 | ||
| 2024 | Q4 | 8330 | SEAPORT SECURITIES CORP. | Self | 01/10/2025 | ||
| 2024 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/06/2025 | XML | |
| 2024 | Q4 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 01/13/2025 | ||
| 2024 | Q4 | 104387 | PGM GLOBAL INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 8330 | SEAPORT SECURITIES CORP. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 18466 | CNR SECURITIES, LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 104387 | PGM GLOBAL INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 877 | WEDBUSH SECURITIES INC. | Self | 01/17/2025 | ||
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 01/16/2025 | ||
| 2024 | Q4 | 120116 | THEMIS TRADING LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 120116 | THEMIS TRADING LLC | Self | 01/13/2025 | ||
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 01/07/2025 | XML | |
| 2024 | Q4 | 134657 | PAR5 CAPITAL & CO LLC | Self | 01/13/2025 | XML | |
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 125393 | FIRST BALLANTYNE, LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 2440 | KIMELMAN & BAIRD, LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 01/16/2025 | ||
| 2024 | Q4 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 01/07/2025 |