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

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

Date Submitted
Displaying 101 - 200 of 1531 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q2 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 31194 RBC CAPITAL MARKETS, LLC Self 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 3441 SMITH, MOORE & CO. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 41533 B.B. GRAHAM & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 41533 B.B. GRAHAM & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 282710 ARKADIOS CAPITAL - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 27913 L.M. KOHN & COMPANY - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 35844 CASCADE INVESTMENT GROUP, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 10645 INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 42941 THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - 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 44807 MORGAN WILSHIRE SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 44807 MORGAN WILSHIRE SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 27913 L.M. KOHN & COMPANY - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 15007 AEGIS CAPITAL CORP. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 119249 AMERICAN CAPITAL PARTNERS, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 17870 NBC SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 6905 FELTL & COMPANY - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 7524 FIRST KENTUCKY SECURITIES CORPORATION - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 42180 SUNBELT SECURITIES, INC. Self 09/05/2024 XML
2024 Q2 127701 GRADIENT SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 119249 AMERICAN CAPITAL PARTNERS, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 28352 LANDOLT SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 35878 SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 28684 GBM INTERNATIONAL, INC. Self 09/05/2024 PDF
2024 Q2 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 2950 DORN & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 127701 GRADIENT SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 29775 CONTINENTAL INVESTORS SERVICES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 38535 MOLONEY SECURITIES CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 10645 INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 41353 THOMPSON DAVIS & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 282710 ARKADIOS CAPITAL - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 18810 CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 3441 SMITH, MOORE & CO. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 16365 CARTER, TERRY & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 41353 THOMPSON DAVIS & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 17870 NBC SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 2950 DORN & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 41533 B.B. GRAHAM & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 24795 JOSEPH GUNNAR & CO. LLC RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 16365 CARTER, TERRY & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 41353 THOMPSON DAVIS & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 22449 CUTTER & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 2950 DORN & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 41533 B.B. GRAHAM & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 42941 THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 24795 JOSEPH GUNNAR & CO. LLC RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 31194 RBC CAPITAL MARKETS, LLC Self 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 44807 MORGAN WILSHIRE SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 282710 ARKADIOS CAPITAL - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 135414 MCDONALD PARTNERS LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 23407 BUCKMAN, BUCKMAN & REID, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 10645 INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 7297 REGAL SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 119249 AMERICAN CAPITAL PARTNERS, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 44807 MORGAN WILSHIRE SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 148733 CAPITAL SYNERGY PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 35844 CASCADE INVESTMENT GROUP, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 128929 GWN SECURITIES INC. Self 09/05/2024 PDF
2024 Q2 127701 GRADIENT SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 143007 EMPIRE ASSET MANAGEMENT COMPANY - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 38535 MOLONEY SECURITIES CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 15007 AEGIS CAPITAL CORP. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 505 LADENBURG THALMANN & CO. INC. Self 09/05/2024 PDF
2024 Q2 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 282710 ARKADIOS CAPITAL - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 5049 BROWN ASSOCIATES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 138033 GAR WOOD SECURITIES, LLC Self 09/05/2024 PDF GARW
2024 Q2 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 127701 GRADIENT SECURITIES, LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 148733 CAPITAL SYNERGY PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 3001 AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 16365 CARTER, TERRY & COMPANY, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 15007 AEGIS CAPITAL CORP. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 135414 MCDONALD PARTNERS LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 17870 NBC SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 24795 JOSEPH GUNNAR & CO. LLC RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 5309 FBL MARKETING SERVICES, LLC RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 135414 MCDONALD PARTNERS LLC - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 23407 BUCKMAN, BUCKMAN & REID, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 31194 RBC CAPITAL MARKETS, LLC Self 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 29775 CONTINENTAL INVESTORS SERVICES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 6914 VAN CLEMENS & CO. INCORPORATED - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 35844 CASCADE INVESTMENT GROUP, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 27913 L.M. KOHN & COMPANY - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 6905 FELTL & COMPANY - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCCLEARINGCUSTODY
2024 Q2 148733 CAPITAL SYNERGY PARTNERS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCWEALTHMANAGEMENT
2024 Q2 23407 BUCKMAN, BUCKMAN & REID, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY
2024 Q2 30812 RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 7297 REGAL SECURITIES, INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 PDF RBCWEALTHMANAGEMENT
2024 Q2 41353 THOMPSON DAVIS & CO., INC. - Disclosure RBC CAPITAL MARKETS, LLC 09/05/2024 XML RBCCLEARINGCUSTODY