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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 | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted | Report Type Sort descending | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 894 | WILLIAM O'NEIL SECURITIES | Self | 07/29/2024 | ||
| 2024 | Q2 | 36538 | CELADON FINANCIAL GROUP LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 17912 | SOGOTRADE, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 14627 | FIRST SECURITIES NORTHWEST, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 2764 | MESIROW FINANCIAL, INC. | Self | 07/22/2024 | PERSHING | |
| 2024 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 07/30/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 7654 | UBS SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CCMB | |
| 2024 | Q2 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | ||
| 2024 | Q2 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | ||
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | ||
| 2024 | Q2 | 17776 | ZIONS DIRECT, INC. | Self | 09/09/2024 | RETAIL | |
| 2024 | Q2 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 173847 | OLDEN LANE SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 32396 | VECTORGLOBAL WMG - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 2764 | MESIROW FINANCIAL, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | ||
| 2024 | Q2 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CNFR | |
| 2024 | Q2 | 7353 | G.RESEARCH, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18466 | CNR SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 3870 | OSAIC FS, INC. | Self | 07/30/2024 | NFS | |
| 2024 | Q2 | 7353 | G.RESEARCH, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 38105 | FMN CAPITAL CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 17776 | ZIONS DIRECT, INC. - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 13041 | NATIONAL FINANCIAL SERVICES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 309574 | MONDEUM CAPITAL | Self | 07/02/2024 | ||
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | Self | 07/13/2024 | ||
| 2024 | Q2 | 41791 | SANTANDER SECURITIES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPNT | |
| 2024 | Q2 | 7456 | HUNTLEIGH SECURITIES CORPORATION - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 37818 | MISCHLER FINANCIAL GROUP, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 298769 | FUTU CLEARING INC | Self | 08/21/2024 | ||
| 2024 | Q2 | 11025 | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | Self | 07/15/2024 | ||
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 1252 | WILLIAM BLAIR | Self | 07/25/2024 | ||
| 2024 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 07/30/2024 | ||
| 2024 | Q2 | 283942 | BOFA SECURITIES, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPTP | |
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY |