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 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID1 | |
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 14178 | REVERE SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 25427 | CFD INVESTMENTS, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 139515 | MCAP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 134284 | RQD* CLEARING, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 19982 | GFI SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 29931 | ANDREW GARRETT INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | XML | EFGBANK |
| 2024 | Q2 | 114203 | GREAT POINT CAPITAL LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 281867 | OLD MISSION MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 205 | SANCTUARY SECURITIES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 316281 | FENNEL | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | ||
| 2024 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY | Self | 07/31/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | ||
| 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 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 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 | 46173 | PARK AVENUE SECURITIES LLC | 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 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 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 | 46173 | PARK AVENUE SECURITIES LLC | 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 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | XML | |
| 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 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | ||
| 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 | 249 | OPPENHEIMER & CO. INC. | Self | 07/31/2024 | XML | |
| 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 | 6220 | HILLTOP SECURITIES INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 40744 | S.L. REED & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | SPGLOBAL |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 47275 | SCF SECURITIES, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 289063 | WEBULL FINANCIAL LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 45993 | STONEX FINANCIAL INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 47215 | SECURITIES EQUITY GROUP - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML |