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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| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | No | NA | XML | |
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PDF|XML | CHBC |
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PNSR | |
| 2024 | Q3 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 7560 | PERSHING LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 104387 | PGM GLOBAL INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 35800 | PHILLIPS & COMPANY | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 36500 | PICTET OVERSEAS INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 142910 | PINNACLE INVESTMENTS, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 665 | PIPER SANDLER & CO. | No | NA | PDF|XML | |
| 2024 | Q3 | 11869 | PLANMEMBER SECURITIES CORPORATION | No | NA | ||
| 2024 | Q3 | 36866 | PLANNER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 129052 | PNC INVESTMENTS | No | NA | PDF|XML | |
| 2024 | Q3 | 129052 | PNC INVESTMENTS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 42847 | POLAR INVESTMENT COUNSEL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 8096 | POPULAR SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 31155 | PORTFOLIO RESOURCES GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 32889 | PRIME EXECUTIONS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 1137 | PRINCIPAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 306255 | PRISM FINANCIAL PRODUCTS LP | No | NA | PDF|XML | |
| 2024 | Q3 | 120222 | PRIVATE CLIENT SERVICES, LLC | No | NA | ||
| 2024 | Q3 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 10740 | PROSPERA FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 5685 | PRUCO SECURITIES, LLC. | No | NA | PDF|XML | |
| 2024 | Q3 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA | PDF|XML | |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q3 | 2498 | R. F. LAFFERTY & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 7612 | R.M. STARK & CO., INC. | No | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | No | NA | PDF|XML | |
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | PDF|XML | OPTIONS |
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | PDF|XML | EQUITY |
| 2024 | Q3 | 25853 | RAYMOND JAMES (USA) LTD. | No | NA | PDF|XML | |
| 2024 | Q3 | 25853 | RAYMOND JAMES (USA) LTD. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 15548 | RCM SECURITIES | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 140564 | REDBURN ATLANTIC | No | NA | XML | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 14178 | REVERE SECURITIES LLC | No | NA | PDF|XML |