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NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

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

Date Submitted
Displaying 701 - 800 of 1531 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q2 37869 CEROS FINANCIAL SERVICES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 17117 FIRST HORIZON ADVISORS, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 146936 BENJAMIN F. EDWARDS & COMPANY, INC. Self 07/30/2024 XML
2024 Q2 115547 SAXONY SECURITIES, INC. Self 07/30/2024 XML
2024 Q2 38455 MATRIX EXECUTIONS, LLC Self 07/30/2024 XML
2024 Q2 15916 SIGNAL SECURITIES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 13037 INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 120719 WOLVERINE EXECUTION SERVICES, LLC Self 07/30/2024 PDF
2024 Q2 39462 CHURCHILL FINANCIAL, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 37869 CEROS FINANCIAL SERVICES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 35865 SUSQUEHANNA FINANCIAL GROUP, LLLP Self 07/30/2024 PDF
2024 Q2 6939 INVESCO CAPITAL MARKETS, INC. - Disclosure VIRTU AMERICAS LLC 07/30/2024 XML
2024 Q2 11826 LIME TRADING CORP Self 07/30/2024 XML
2024 Q2 139107 FIRST ASSET FINANCIAL INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 8158 ROBERT W. BAIRD & CO. INCORPORATED Self 07/30/2024 XML
2024 Q2 21687 WATERFORD CAPITAL, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 17587 MOMENTUM INDEPENDENT NETWORK INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 3013 COLONIAL SECURITIES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 42060 OBERWEIS SECURITIES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 39462 CHURCHILL FINANCIAL, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 103727 GAGNON SECURITIES, LLC Self 07/30/2024 PDF SPGLOBAL
2024 Q2 149823 VIRTU AMERICAS LLC Self 07/30/2024 XML
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/30/2024 PDF MPSG
2024 Q2 289063 WEBULL FINANCIAL LLC Self 07/30/2024 XML
2024 Q2 300262 ALPHALEDGER MARKETS, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 18637 COOPER MALONE MCCLAIN, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 14559 GILL CAPITAL PARTNERS, LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 29249 INSIGNEO SECURITIES, LLC - Disclosure STONEX FINANCIAL INC. 07/30/2024 XML
2024 Q2 44856 ARETE WEALTH MANAGEMENT, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 42060 OBERWEIS SECURITIES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 103727 GAGNON SECURITIES, LLC Self 07/30/2024 PDF NFS
2024 Q2 16187 CARNES CAPITAL CORPORATION - Disclosure VIRTU AMERICAS LLC 07/30/2024 PDF
2024 Q2 104343 COLORADO FINANCIAL SERVICE CORPORATION - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 47275 SCF SECURITIES, INC. Self 07/30/2024 XML
2024 Q2 142783 MURRAY SECURITIES, INC. HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 142783 MURRAY SECURITIES, INC. HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 20999 CALTON & ASSOCIATES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 6506 KUYKENDALL & SCHNEIDER, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 282480 BULL MARKET SECURITIES, INC. STONEX FINANCIAL INC. 07/30/2024 XML
2024 Q2 1175 BARRETT & COMPANY - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 44856 ARETE WEALTH MANAGEMENT, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 17839 THE INVESTMENT CENTER, INC. Self 07/30/2024 PDF
2024 Q2 18483 TRADEUP SECURITIES, INC. Self 07/30/2024 XML MRSC
2024 Q2 145994 PENSERRA SECURITIES, LLC Self 07/30/2024 XML PNSR
2024 Q2 314549 NORTHBOUND SECURITIES LLC - Disclosure DRIVEWEALTH, LLC 07/30/2024 XML
2024 Q2 15916 SIGNAL SECURITIES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 2903 MARTIN NELSON & CO., INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 7388 AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 18456 STONEX SECURITIES INC. - Disclosure STONEX FINANCIAL INC. 07/30/2024 PDF
2024 Q2 103705 CITY NATIONAL SECURITIES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 1175 BARRETT & COMPANY - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 8246 OPAL SECURITIES, INC. Self 07/30/2024 XML
2024 Q2 7059 CITIGROUP GLOBAL MARKETS INC. Self 07/30/2024 XML SBSH
2024 Q2 114993 CRESCENT SECURITIES GROUP, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 164447 LAKE STREET CAPITAL MARKETS, LLC Self 07/30/2024 XML
2024 Q2 159940 BENCHMARK SECURITIES LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 25590 PEACHCAP SECURITIES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 13037 INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 173643 UCAP AMERICAS - Disclosure STONEX FINANCIAL INC. 07/30/2024 PDF
2024 Q2 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 8032 COMMONWEALTH FINANCIAL NETWORK - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 38373 FORTE SECURITIES LLC Self 07/30/2024 PDF
2024 Q2 10690 SEI INVESTMENTS DISTRIBUTION CO. - Disclosure CITIGROUP GLOBAL MARKETS INC. 07/30/2024 PDF CGWM
2024 Q2 2347 JEFFERIES LLC Self 07/30/2024 XML
2024 Q2 314549 NORTHBOUND SECURITIES LLC - Disclosure DRIVEWEALTH, LLC 07/30/2024 PDF
2024 Q2 17587 MOMENTUM INDEPENDENT NETWORK INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 6220 HILLTOP SECURITIES INC. Self 07/30/2024 XML
2024 Q2 14559 GILL CAPITAL PARTNERS, LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 47275 SCF SECURITIES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 129052 PNC INVESTMENTS - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 10409 MML INVESTORS SERVICES, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 36538 CELADON FINANCIAL GROUP LLC Self 07/30/2024 PDF
2024 Q2 315499 GTN AMERICAS FINANCIAL SERVICES Self 07/30/2024 PDF
2024 Q2 17912 SOGOTRADE, INC. Self 07/30/2024 PDF
2024 Q2 35127 ABACUS INVESTMENTS, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 793 STIFEL, NICOLAUS & COMPANY, INCORPORATED Self 07/30/2024 PDF
2024 Q2 104233 FLAGSTAR ADVISORS - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 13041 NATIONAL FINANCIAL SERVICES LLC Self 07/30/2024 XML
2024 Q2 13109 EMPOWER FINANCIAL SERVICES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 3870 OSAIC FS, INC. Self 07/30/2024 XML NFS
2024 Q2 26001 TOCQUEVILLE SECURITIES L.P. Self 07/30/2024 PDF
2024 Q2 7784 FIDELITY BROKERAGE SERVICES LLC Self 07/30/2024 XML
2024 Q2 18637 COOPER MALONE MCCLAIN, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 7336 FIRST TRYON SECURITIES, LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 155578 LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 282710 ARKADIOS CAPITAL - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 18272 ALLSTATE FINANCIAL SERVICES, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 122225 BTIG, LLC Self 07/30/2024 XML
2024 Q2 25803 TRIAD ADVISORS LLC Self 07/30/2024 XML
2024 Q2 103723 MAPLEWOOD INVESTMENTS, INC. - Disclosure FIDELITY BROKERAGE SERVICES LLC 07/30/2024 PDF
2024 Q2 35127 ABACUS INVESTMENTS, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 37505 GLOBAL BROKERAGE SERVICES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 120719 WOLVERINE EXECUTION SERVICES, LLC Self 07/30/2024 XML
2024 Q2 20999 CALTON & ASSOCIATES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 16187 CARNES CAPITAL CORPORATION - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 136131 ALLY INVEST SECURITIES LLC Self 07/30/2024 PDF
2024 Q2 104005 BULLTICK, LLC Self 07/30/2024 PDF
2024 Q2 132091 FNBB CAPITAL MARKETS, LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 133760 CAMBRIA CAPITAL, LLC Self 07/30/2024 PDF
2024 Q2 47770 CHELSEA FINANCIAL SERVICES - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF