NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)
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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.
Displaying 6201 - 6300 of 8594
Glossary
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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 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | OPTIONS | |
| 2024 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | No | NA | PDF|XML | NFS |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | No | NA | PDF|XML | PERSHING |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 505 | LADENBURG THALMANN & CO. INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | No | NA | ||
| 2024 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | PDF|XML | |
| 2024 | Q3 | 47487 | LANDAAS & COMPANY | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | PDF|XML | |
| 2024 | Q3 | 7874 | LBMZ SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 39011 | LEERINK PARTNERS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 38751 | LEIGH BALDWIN & CO., LLC | No | NA | XML | |
| 2024 | Q3 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 36379 | LENOX FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 10091 | LESKO SECURITIES INC. | No | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 10091 | LESKO SECURITIES INC. | No | NA | ||
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q3 | 25706 | LIBERTY CAPITAL INVESTMENT CORPORATION | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 42578 | LIEBLONG & ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 16204 | LIFEMARK SECURITIES CORP. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 11826 | LIME TRADING CORP | No | NA | PDF|XML | |
| 2024 | Q3 | 155578 | LINCOLN DOUGLAS INVESTMENTS, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | No | NA | PDF|XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 165828 | LION STREET FINANCIAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 27954 | LOMBARD SECURITIES INCORPORATED | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 6413 | LPL FINANCIAL LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 43285 | M HOLDINGS SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 17358 | M&T SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 104100 | M. S. HOWELLS & CO. | No | NA | PDF|XML | |
| 2024 | Q3 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 23224 | MADISON AVENUE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 103723 | MAPLEWOOD INVESTMENTS, INC. | YES - Disclosure | FIDELITY BROKERAGE SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | CCMB | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | CNFR | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | NPTP | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | NPNT | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | MPSG | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | EDFP |