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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2026 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 107403 | SPEEDTRADER, INC | NO | NA | PDF|XML | |
| 2026 | Q2 | 144131 | SPIRE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | NO | NA | PDF|XML | |
| 2026 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 3496 | STEPHENS | NO | NA | PDF|XML | |
| 2026 | Q2 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q2 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | PDF|XML | |
| 2026 | Q2 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | NO | NA | PDF|XML | |
| 2026 | Q2 | 39616 | STONECREST CAPITAL MARKETS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 146667 | STONEX INTERNATIONAL SECURITIES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 18456 | STONEX SECURITIES INC. | YES | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | NO | NA | PDF|XML | |
| 2026 | Q2 | 42180 | SUNBELT SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 30770 | SUTTER SECURITIES INCORPORATED | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 29037 | SYNDICATED CAPITAL, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 154431 | T3 TRADING GROUP, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 313304 | TCBI SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 164484 | TD PRIVATE CLIENT WEALTH LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | NO | NA | PDF|XML | |
| 2026 | Q2 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 2936 | THE O.N. EQUITY SALES COMPANY | NO | NA | PDF|XML | |
| 2026 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 120116 | THEMIS TRADING LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | NO | NA | PDF|XML | |
| 2026 | Q2 | 130030 | TRADEMAS INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 39473 | TRADESTATION SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 128605 | TRADINGBLOCK | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2026 | Q2 | 11363 | TRIAD SECURITIES CORP | NO | NA | PDF|XML | |
| 2026 | Q2 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 42854 | UHLMANN PRICE SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | NO | NA | PDF|XML | |
| 2026 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 103857 | USA FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 42803 | VALIC FINANCIAL ADVISORS, INC. | NO | NA | PDF|XML | INFO |
| 2026 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 31243 | VALMARK SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML |