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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 Sort ascending | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | ||
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | XML | PERS |
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 628 | FIFTH THIRD SECURITIES, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 289063 | WEBULL FINANCIAL LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 281867 | OLD MISSION MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | XML | |
| 2024 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | Self | 09/11/2024 | XML | |
| 2024 | Q2 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 110942 | SENTINEL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 39616 | STONECREST CAPITAL MARKETS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 14974 | R. SEELAUS & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 10/07/2024 | XML | |
| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | Self | 07/09/2024 | ||
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 07/15/2024 | ||
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | SPGLOBAL |
| 2024 | Q2 | 47275 | SCF SECURITIES, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | ||
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | ||
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/06/2024 | XML | GRWD |
| 2024 | Q2 | 27954 | LOMBARD SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 132078 | COBRA TRADING, INC. | Self | 09/24/2024 | ||
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 5407 | VBC SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7560 | PERSHING LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | PERS | |
| 2024 | Q2 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | Self | 07/24/2024 | ||
| 2024 | Q2 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | XML | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 43678 | WILLIAMS TRADING LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | ||
| 2024 | Q2 | 15650 | BOLTON GLOBAL CAPITAL | Self | 09/04/2024 | ||
| 2024 | Q2 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 09/11/2024 | ||
| 2024 | Q2 | 27954 | LOMBARD SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2882 | VOYA FINANCIAL ADVISORS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/07/2024 | XML | |
| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | NFS |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/30/2024 | XML | EDFP |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 283701 | MARKET SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | XML | |
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 46350 | TRADE-PMR INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 132078 | COBRA TRADING, INC. | Self | 09/24/2024 | XML | |
| 2024 | Q2 | 877 | WEDBUSH SECURITIES INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 40744 | S.L. REED & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 14974 | R. SEELAUS & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7612 | R.M. STARK & CO., INC. | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | XML | NFSC |
| 2024 | Q2 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 07/24/2024 | XML |