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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 6602 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 138033 GAR WOOD SECURITIES, LLC No NA XML GRWD
2024 Q4 316641 FREC SECURITIES LLC YES - Disclosure APEX CLEARING CORPORATION PDF
2024 Q4 136791 CREDICORP CAPITAL LLC YES - Disclosure PERSHING LLC XML
2024 Q4 36644 PRIVATE PORTFOLIO, INC. YES - Disclosure PERSHING LLC PDF
2024 Q4 14752 CAPITAL INVESTMENT GROUP, INC. YES - Disclosure PERSHING LLC XML
2024 Q4 148733 CAPITAL SYNERGY PARTNERS YES - Disclosure RBC CAPITAL MARKETS, LLC XML
2024 Q4 119249 AMERICAN CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC XML
2024 Q4 24795 JOSEPH GUNNAR & CO. LLC No RBC CAPITAL MARKETS, LLC XML RBCCLEARINGCUSTODY
2024 Q4 28352 LANDOLT SECURITIES, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
2024 Q4 7297 REGAL SECURITIES, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCWEALTHMANAGEMENT
2024 Q4 13092 MUTUAL SECURITIES, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC XML
2024 Q4 298809 HUATAI SECURITIES (USA), INC. No NA PDF|XML
2024 Q4 1331 BROWN, LISLE/CUMMINGS, INC. No NA XML
2024 Q4 8032 COMMONWEALTH FINANCIAL NETWORK No NA PDF|XML NFSC
2024 Q4 26460 R.W.PRESSPRICH & CO. No NA PDF|XML
2024 Q4 705 RAYMOND JAMES & ASSOCIATES, INC. No NA XML RAJA
2024 Q4 120583 US TIGER SECURITIES, INC. No NA PDF|XML
2024 Q4 40118 EFG CAPITAL INTERNATIONAL No NA PDF EFGBANK
2024 Q4 149777 MORGAN STANLEY No NA XML
2024 Q4 18637 COOPER MALONE MCCLAIN, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF
2024 Q4 104021 CHOICETRADE No NA PDF
2024 Q4 281867 OLD MISSION MARKETS LLC No NA PDF|XML
2024 Q4 8246 OPAL SECURITIES, INC. No NA PDF
2024 Q4 25427 CFD INVESTMENTS, INC. No NA PDF|XML
2024 Q4 44181 NATIONS FINANCIAL GROUP, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC XML
2024 Q4 3255 ST. GERMAIN SECURITIES, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF
2024 Q4 36538 CELADON FINANCIAL GROUP LLC No NA PDF
2024 Q4 151085 HARBOR INVESTMENT ADVISORY, LLC YES - Disclosure PERSHING LLC PDF
2024 Q4 103857 USA FINANCIAL SECURITIES LLC YES - Disclosure PERSHING LLC PDF
2024 Q4 24771 BEECH HILL SECURITIES, INC. YES - Disclosure PERSHING LLC XML
2024 Q4 3063 E. E. POWELL & COMPANY INC. YES - Disclosure PERSHING LLC PDF
2024 Q4 43035 SOUTHEAST INVESTMENTS, N.C., INC. YES - Disclosure AXOS CLEARING LLC PDF
2024 Q4 41258 TRIDENT PARTNERS LTD. YES - Disclosure RBC CAPITAL MARKETS, LLC XML RBCCLEARINGCUSTODY
2024 Q4 41533 B.B. GRAHAM & COMPANY, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2024 Q4 18810 CONSOLIDATED FINANCIAL INVESTMENTS, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCWEALTHMANAGEMENT
2024 Q4 3001 AMERICAN TRUST INVESTMENT SERVICES, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCWEALTHMANAGEMENT
2024 Q4 36509 ALIGHT FINANCIAL SOLUTIONS, LLC No NA PDF|XML
2024 Q4 104233 FLAGSTAR ADVISORS YES - Disclosure NATIONAL FINANCIAL SERVICES LLC XML
2024 Q4 41608 FINTRUST BROKERAGE SERVICES, LLC YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF
2024 Q4 375 H.C.WAINWRIGHT & CO., LLC No NA XML
2024 Q4 38964 CREAND SECURITIES No NA XML
2024 Q4 47768 FERRETTI GROUP, INC. No NA XML
2024 Q4 17868 U.S. BANCORP INVESTMENTS, INC. No NA PDF|XML
2024 Q4 25700 LEVEL FOUR FINANCIAL, LLC YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. XML EQUITY
2024 Q4 104651 STATETRUST INVESTMENTS INC. No NA PDF
2024 Q4 161014 MAREX CAPITAL MARKETS INC. No NA XML MPSG
2024 Q4 46047 HANTZ FINANCIAL SERVICES, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF
2024 Q4 17454 BNY MELLON CAPITAL MARKETS, LLC No NA XML
2024 Q4 38105 FMN CAPITAL CORPORATION No NA PDF
2024 Q4 7059 CITIGROUP GLOBAL MARKETS INC. No NA PDF SBSH
2024 Q4 282480 BULL MARKET SECURITIES, INC. YES - Disclosure STONEX FINANCIAL INC. PDF
2024 Q4 10740 PROSPERA FINANCIAL SERVICES, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF
2024 Q4 316281 FENNEL No NA PDF
2024 Q4 25899 CRESAP, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC XML
2024 Q4 142271 VISION FINANCIAL MARKETS LLC No NA XML
2024 Q4 325118 COMPOSER SECURITIES LLC YES - Disclosure APEX CLEARING CORPORATION PDF
2024 Q4 137945 FOUNDERS FINANCIAL SECURITIES LLC YES - Disclosure PERSHING LLC PDF
2024 Q4 35800 PHILLIPS & COMPANY YES - Disclosure PERSHING LLC XML
2024 Q4 14458 INVESTMENT PLACEMENT GROUP YES - Disclosure PERSHING LLC PDF
2024 Q4 148743 SPIDERROCK EXS, LLC No NA XML
2024 Q4 135414 MCDONALD PARTNERS LLC YES - Disclosure RBC CAPITAL MARKETS, LLC XML RBCWEALTHMANAGEMENT
2024 Q4 38535 MOLONEY SECURITIES CO., INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
2024 Q4 119249 AMERICAN CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCWEALTHMANAGEMENT
2024 Q4 3441 SMITH, MOORE & CO. YES - Disclosure RBC CAPITAL MARKETS, LLC XML
2024 Q4 6905 FELTL & COMPANY YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
2024 Q4 36105 UNIVEST SECURITIES, LLC YES - Disclosure CURVATURE SECURITIES LLC PDF
2024 Q4 13109 EMPOWER FINANCIAL SERVICES, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC XML
2024 Q4 35747 PURSHE KAPLAN STERLING INVESTMENTS No NA PDF
2024 Q4 6694 RAYMOND JAMES FINANCIAL SERVICES, INC. YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. XML RAJA
2024 Q4 40118 EFG CAPITAL INTERNATIONAL No NA PDF PERSHING
2024 Q4 300262 ALPHALEDGER MARKETS, INC. YES - Disclosure HILLTOP SECURITIES INC. XML
2024 Q4 14143 SYCAMORE FINANCIAL GROUP YES - Disclosure HILLTOP SECURITIES INC. XML
2024 Q4 161014 MAREX CAPITAL MARKETS INC. No NA PDF CNFR
2024 Q4 122225 BTIG, LLC No NA XML
2024 Q4 44971 HERNDON PLANT OAKLEY, LTD. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC XML
2024 Q4 3618 TRUBEE WEALTH ADVISORS, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF
2024 Q4 16164 TRANSAMERICA FINANCIAL ADVISORS, INC No NA XML
2024 Q4 149758 J.V.B. FINANCIAL GROUP, LLC YES - Disclosure PERSHING LLC XML
2024 Q4 47487 LANDAAS & COMPANY YES - Disclosure PERSHING LLC XML
2024 Q4 25853 RAYMOND JAMES (USA) LTD. YES - Disclosure PERSHING LLC PDF
2024 Q4 3255 ST. GERMAIN SECURITIES, INC. YES - Disclosure PERSHING LLC XML
2024 Q4 117176 AXOS CLEARING LLC No NA XML
2024 Q4 41258 TRIDENT PARTNERS LTD. YES - Disclosure RBC CAPITAL MARKETS, LLC XML RBCWEALTHMANAGEMENT
2024 Q4 18234 LEMLEY, YARLING & CO. No RBC CAPITAL MARKETS, LLC XML RBCCLEARINGCUSTODY
2024 Q4 22449 CUTTER & COMPANY, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
2024 Q4 7297 REGAL SECURITIES, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC XML
2024 Q4 116681 HIGHTOWER SECURITIES, LLC YES - Disclosure NATIONAL FINANCIAL SERVICES LLC XML
2024 Q4 265 EQUITY SERVICES, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF
2024 Q4 32029 KA ASSOCIATES, LLC No NA PDF
2024 Q4 7191 LASALLE ST SECURITIES, L.L.C. No NA PDF
2024 Q4 145994 PENSERRA SECURITIES, LLC No NA PDF PNSR
2024 Q4 35699 GLOBAL FINANCIAL SERVICES, L.L.C. YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. XML EQUITY