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 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 5397 | DAVID LERNER ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | XML | STONEX1 |
| 2024 | Q2 | 19456 | ROBERTS & RYAN, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 19647 | MIZUHO SECURITIES USA LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 290215 | VELOX CLEARING LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | ||
| 2024 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 7654 | UBS SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | PERSHING | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | ||
| 2024 | Q2 | 249 | OPPENHEIMER & CO. INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | ADAM |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | XML | MPID1 |
| 2024 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156691 | XP INVESTMENTS US, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 25427 | CFD INVESTMENTS, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | ||
| 2024 | Q2 | 139515 | MCAP LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19982 | GFI SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 306255 | PRISM FINANCIAL PRODUCTS LP | Self | 07/31/2024 | ||
| 2024 | Q2 | 133763 | OSAIC SERVICES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 43678 | WILLIAMS TRADING LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 42405 | EVERCORE GROUP L.L.C. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 149486 | BTG PACTUAL US CAPITAL, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5397 | DAVID LERNER ASSOCIATES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 630 | CIBC WORLD MARKETS CORP. | Self | 07/31/2024 | ||
| 2024 | Q2 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 19647 | MIZUHO SECURITIES USA LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 151717 | SOFI SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | CSTI | |
| 2024 | Q2 | 46987 | VIEWTRADE SECURITIES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 38105 | FMN CAPITAL CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | XML | |
| 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 |