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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| 2025 | Q1 | 116270 | SEAPORT GLOBAL SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | No | NA | XML | |
| 2024 | Q4 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | No | NA | ||
| 2024 | Q4 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | No | NA | ||
| 2024 | Q2 | 165828 | LION STREET FINANCIAL, LLC | No | NA | ||
| 2024 | Q2 | 38770 | D.M. KELLY & COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | No | NA | OPTIONS | |
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | No | NA | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q2 | 37711 | STOCK TRADERS | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | No | NA | ||
| 2024 | Q3 | 2525 | DEUTSCHE BANK SECURITIES INC. | No | NA | XML | |
| 2024 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. | No | NA | XML | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q3 | 131607 | PACIFIC CENTURY SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | XML | |
| 2024 | Q3 | 291361 | ROCKEFELLER FINANCIAL LLC | No | NA | XML | |
| 2024 | Q3 | 33038 | DRIVEWEALTH INSTITUTIONAL LLC | No | NA | ||
| 2024 | Q3 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | No | NA | ||
| 2024 | Q3 | 1175 | BARRETT & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q3 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA | XML | |
| 2024 | Q3 | 132091 | FNBB CAPITAL MARKETS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q3 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | XML | CGWM |
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | ||
| 2024 | Q3 | 138033 | GAR WOOD SECURITIES, LLC | No | NA | GRWD | |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | OPTIONS |
| 2024 | Q3 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q3 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2024 | Q4 | 130645 | DAWSON JAMES SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 134657 | PAR5 CAPITAL & CO LLC | No | NA | XML | |
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | No | NA | XML | |
| 2024 | Q4 | 125393 | FIRST BALLANTYNE, LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | ||
| 2024 | Q3 | 316232 | BANCOLOMBIA CAPITAL LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q3 | 12963 | MONEY CONCEPTS CAPITAL CORP | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 35371 | OSAIC INSTITUTIONS, INC. | No | NA | ||
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | VIRTU AMERICAS LLC | XML | |
| 2024 | Q4 | 7452 | VANGUARD MARKETING CORPORATION | No | NA | ||
| 2024 | Q4 | 665 | PIPER SANDLER & CO. | No | NA | XML | |
| 2024 | Q4 | 139107 | FIRST ASSET FINANCIAL INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q3 | 8089 | TZ CLEAR LLC | No | NA | XML | |
| 2024 | Q4 | 47873 | SAFRA SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 107403 | SPEEDTRADER, INC | No | NA | XML | |
| 2024 | Q4 | 17530 | BOK FINANCIAL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 79 | J.P. MORGAN SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 19537 | FIRST WESTERN SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 46173 | PARK AVENUE SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 39356 | KBFG SECURITIES AMERICA INC. | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 132701 | BANCO DO BRASIL SECURITIES LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | No | NA | ||
| 2024 | Q4 | 35800 | PHILLIPS & COMPANY | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | ||
| 2024 | Q4 | 14458 | INVESTMENT PLACEMENT GROUP | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 566 | KEYBANC CAPITAL MARKETS INC. | No | NA | ||
| 2024 | Q4 | 47215 | SECURITIES EQUITY GROUP | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q2 | 11363 | TRIAD SECURITIES CORP | No | NA | ||
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | No | NA | XML | |
| 2024 | Q4 | 104026 | BROAD STREET CAPITAL MARKETS, LLC | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q2 | 3978 | OSAIC FA, INC. | No | NA | XML | NFS |
| 2024 | Q4 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 19524 | JOHNSON RICE & COMPANY L.L.C. | No | NA | ||
| 2024 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | No | NA | XML | |
| 2024 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q2 | 46300 | TJM INVESTMENTS, LLC | No | NA | XML | |
| 2024 | Q4 | 7763 | CENTENNIAL SECURITIES COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 128605 | TRADINGBLOCK | No | NA | ||
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | No | NA | XML | |
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC | YES - Disclosure | VELOCITY CLEARING, LLC | ||
| 2024 | Q2 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | No | NA | ||
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | XML | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q2 | 282756 | FIRST SOUTHERN, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | No | NA | ||
| 2024 | Q3 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA | XML | |
| 2024 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | No | NA | ||
| 2024 | Q3 | 148158 | NORTH SOUTH CAPITAL, LLC | No | NA |