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 | 151717 | SOFI SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 104005 | BULLTICK, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 14762 | COORDINATED CAPITAL SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 46173 | PARK AVENUE SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 37059 | VICTORY CAPITAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | No | NA | ||
| 2024 | Q4 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 46987 | VIEWTRADE SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 17117 | FIRST HORIZON ADVISORS, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA | XML | |
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | No | NA | XML | CHBC |
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | RAJA |
| 2024 | Q4 | 17499 | TRUIST INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 1660 | DOFT & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 21687 | WATERFORD CAPITAL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | XML | NPTP |
| 2024 | Q4 | 19585 | HSBC SECURITIES (USA) INC. | No | NA | ||
| 2024 | Q4 | 2543 | B. RILEY WEALTH MANAGEMENT | No | NA | ||
| 2024 | Q4 | 7897 | INSTINET, LLC | No | NA | XML | |
| 2024 | Q4 | 139665 | BHK SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 309955 | UNEST SECURITIES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 158599 | BOREAL CAPITAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 104474 | SANFORD C. BERNSTEIN & CO., LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 3767 | &PARTNERS | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 169708 | CURVATURE SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 43035 | SOUTHEAST INVESTMENTS, N.C., INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2024 | Q4 | 32029 | KA ASSOCIATES, LLC | No | NA | XML | |
| 2024 | Q4 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 37818 | MISCHLER FINANCIAL GROUP, INC. | No | NA | ||
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | EQUITY |
| 2024 | Q4 | 32889 | PRIME EXECUTIONS, INC. | No | NA | XML | |
| 2024 | Q4 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | XML | |
| 2024 | Q4 | 38923 | GVC CAPITAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | No | NA | XML | |
| 2024 | Q4 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | XML | NPNT |
| 2024 | Q4 | 16325 | STERN BROTHERS & CO. | No | NA | PDF|XML | |
| 2024 | Q4 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | ||
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | No | NA | ||
| 2024 | Q4 | 28116 | CHAPIN, DAVIS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 47788 | BETTERMENT SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 139049 | ACP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 39616 | STONECREST CAPITAL MARKETS, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 15041 | FIRST BANKERS' BANC SECURITIES, INC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 152974 | CREATIVEONE SECURITIES, LLC | No | NA | ||
| 2024 | Q4 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 505 | LADENBURG THALMANN & CO. INC. | No | NA | ||
| 2024 | Q4 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | ||
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | No | NA | XML | PNSR |
| 2024 | Q4 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | RAJA |
| 2024 | Q4 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 14627 | FIRST SECURITIES NORTHWEST, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 16686 | BMO CAPITAL MARKETS CORP. | No | NA | ||
| 2024 | Q4 | 288933 | CLEAR STREET LLC | No | NA | ||
| 2024 | Q4 | 122225 | BTIG, LLC | No | NA | ||
| 2024 | Q4 | 128605 | TRADINGBLOCK | YES - Disclosure | INSTINET, LLC | XML | |
| 2024 | Q4 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 4173 | ONEAMERICA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 47215 | SECURITIES EQUITY GROUP | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q4 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA |