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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 Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 14178 | REVERE SECURITIES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 21821 | CATHAY SECURITIES, INC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 128605 | TRADINGBLOCK | Self | 08/01/2024 | ||
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 107403 | SPEEDTRADER, INC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 38751 | LEIGH BALDWIN & CO., LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 283701 | MARKET SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 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 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 16843 | FIRSTRADE SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | PERSHING | |
| 2024 | Q2 | 46300 | TJM INVESTMENTS, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | EFGBANK | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID2 | |
| 2024 | Q2 | 249 | OPPENHEIMER & CO. INC. | Self | 07/31/2024 |