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NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

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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

Displaying 1 - 100 of 7139 Glossary
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 PDF
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 PDF CGWM
2024 Q4 288202 ALPACA SECURITIES LLC No NA XML
2024 Q4 13251 ROBOTTI SECURITIES, LLC No NA PDF
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 PDF
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 PDF
2024 Q4 10083 GARDEN STATE SECURITIES, INC. No NA PDF
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 PDF RBCWEALTHMANAGEMENT
2024 Q4 2950 DORN & CO., INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
2024 Q4 19524 JOHNSON RICE & COMPANY L.L.C. No NA PDF
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 PDF
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. PDF
2024 Q4 139107 FIRST ASSET FINANCIAL INC. YES - Disclosure HILLTOP SECURITIES INC. XML
2024 Q4 35127 ABACUS INVESTMENTS, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF
2024 Q4 3777 WILSON-DAVIS & CO., INC. No NA XML
2024 Q4 120708 MAXIM GROUP LLC No NA PDF
2024 Q4 29249 INSIGNEO SECURITIES, LLC No NA PDF STONEX1
2024 Q4 17912 SOGOTRADE, INC. No NA PDF|XML
2024 Q4 39062 UNITED BROKERAGE SERVICES, INC YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF
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 PDF
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 PDF RBCCLEARINGCUSTODY
2024 Q4 17870 NBC SECURITIES, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
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 PDF RBCCLEARINGCUSTODY
2024 Q4 29721 GLOBALINK SECURITIES, INC. No NA XML
2024 Q4 7784 FIDELITY BROKERAGE SERVICES LLC No NA PDF
2024 Q4 124583 J.W. COLE FINANCIAL, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF
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 PDF
2024 Q4 30679 MIRAE ASSET SECURITIES (USA) INC. No NA PDF|XML
2024 Q4 290215 VELOX CLEARING LLC No NA PDF
2024 Q4 132091 FNBB CAPITAL MARKETS, LLC YES - Disclosure HILLTOP SECURITIES INC. PDF
2024 Q4 10690 SEI INVESTMENTS DISTRIBUTION CO. YES - Disclosure CITIGROUP GLOBAL MARKETS INC. PDF CGWM
2024 Q4 325118 COMPOSER SECURITIES LLC YES - Disclosure ALPACA SECURITIES LLC XML
2024 Q4 7551 CAPITAL INSTITUTIONAL SERVICES, INC. No NA PDF
2024 Q4 2347 JEFFERIES LLC No NA PDF
2024 Q4 22449 CUTTER & COMPANY, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF
2024 Q4 283965 FOLIONET FINANCIAL LLC YES - Disclosure APEX CLEARING CORPORATION PDF
2024 Q4 146667 INTERCAM SECURITIES, INC. YES - Disclosure PERSHING LLC PDF
2024 Q4 41139 ALTERNA SECURITIES, INC. YES - Disclosure PERSHING LLC PDF
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 PDF RBCWEALTHMANAGEMENT
2024 Q4 41533 B.B. GRAHAM & COMPANY, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF 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 PDF RAJA
2024 Q4 41257 DASH PRIME LLC YES - Disclosure BOFA SECURITIES, INC. PDF
2024 Q4 142783 MURRAY SECURITIES, INC. No HILLTOP SECURITIES INC. XML
2024 Q4 36379 LENOX FINANCIAL SERVICES, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF
2024 Q4 298361 ETORO USA SECURITIES INC. No NA PDF
2024 Q4 140341 ELEVATION, LLC No NA PDF
2024 Q4 46300 TJM INVESTMENTS, LLC No NA PDF
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 PDF
2024 Q4 116681 HIGHTOWER SECURITIES, LLC YES - Disclosure PERSHING LLC PDF
2024 Q4 30833 CENTAURUS FINANCIAL, INC. YES - Disclosure PERSHING LLC PDF
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 PDF 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 PDF RBCWEALTHMANAGEMENT
2024 Q4 103723 MAPLEWOOD INVESTMENTS, INC. YES - Disclosure FIDELITY BROKERAGE SERVICES LLC PDF
2024 Q4 129052 PNC INVESTMENTS YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF
2024 Q4 144403 PHX FINANCIAL, INC. YES - Disclosure AXOS CLEARING LLC PDF
2024 Q4 7976 GORDON, HASKETT CAPITAL CORPORATION No NA PDF
2024 Q4 10641 CADARET, GRANT & CO., INC. No NA PDF
2024 Q4 44430 FIRST CITIZENS INVESTOR SERVICES, INC. No NA XML
2024 Q4 128929 GWN SECURITIES INC. No NA PDF
2024 Q4 25853 RAYMOND JAMES (USA) LTD. No NA PDF