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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 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 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | 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 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, 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 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 128929 | GWN SECURITIES INC. | Self | 09/05/2024 | ||
| 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 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 505 | LADENBURG THALMANN & CO. INC. | Self | 09/05/2024 | ||
| 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 | RBCWEALTHMANAGEMENT | |
| 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 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/05/2024 | 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 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | Self | 09/04/2024 | ||
| 2024 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 09/04/2024 | ||
| 2024 | Q2 | 148743 | SPIDERROCK EXS, LLC | Self | 09/04/2024 | ||
| 2024 | Q2 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | Self | 09/04/2024 | ||
| 2024 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 09/04/2024 | ||
| 2024 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 42046 | KESTRA INVESTMENT SERVICES, LLC | Self | 09/04/2024 | ||
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 15650 | BOLTON GLOBAL CAPITAL | Self | 09/04/2024 | ||
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 08/30/2024 | XML | |
| 2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 08/30/2024 | XML | |
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 08/30/2024 | ||
| 2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 08/30/2024 | ||
| 2024 | Q2 | 154327 | MSEC, LLC | Self | 08/27/2024 | XML | |
| 2024 | Q2 | 154327 | MSEC, LLC | Self | 08/26/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 08/22/2024 | XML | |
| 2024 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 08/22/2024 | ||
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | XML | |
| 2024 | Q2 | 298769 | FUTU CLEARING INC | Self | 08/21/2024 | ||
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | ||
| 2024 | Q2 | 298769 | FUTU CLEARING INC | Self | 08/21/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | ||
| 2024 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | ||
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | XML | |
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. | Self | 08/14/2024 | ||
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 32889 | PRIME EXECUTIONS, INC. | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | Self | 08/12/2024 | ||
| 2024 | Q2 | 1252 | WILLIAM BLAIR | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 32889 | PRIME EXECUTIONS, INC. | Self | 08/12/2024 | ||
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | ||
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | XML | |
| 2024 | Q2 | 134 | CANTOR FITZGERALD & CO. | Self | 08/08/2024 | ||
| 2024 | Q2 | 134 | CANTOR FITZGERALD & CO. | Self | 08/08/2024 | XML | |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | PERSHING | |
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | Self | 08/07/2024 | LEHM | |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | XML | PERSHING |
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | Self | 08/07/2024 | XML | LEHM |
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | Self | 08/06/2024 | XML | |
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | Self | 08/06/2024 | ||
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | Self | 08/05/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 08/05/2024 | XML | |
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 08/05/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | EDFC | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPNT | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID1 | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID1 |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CCMB | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPTP | |
| 2024 | Q2 | 107403 | SPEEDTRADER, INC | Self | 08/02/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID2 | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | EDFP | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CNFR | |
| 2024 | Q2 | 120708 | MAXIM GROUP LLC | Self | 08/02/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID2 |
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML |