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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 | Q3 | 148493 | ODEON CAPITAL GROUP LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | Self | 10/30/2024 | ||
| 2024 | Q3 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 16204 | LIFEMARK SECURITIES CORP. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 122225 | BTIG, LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 103792 | EF HUTTON LLC | Self | 10/30/2024 | XML | DCSD |
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 7784 | FIDELITY BROKERAGE SERVICES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 151717 | SOFI SECURITIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 139515 | MCAP LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 148743 | SPIDERROCK EXS, LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 2347 | JEFFERIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 47215 | SECURITIES EQUITY GROUP - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 665 | PIPER SANDLER & CO. | Self | 10/30/2024 | ||
| 2024 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 41608 | FINTRUST BROKERAGE SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 16204 | LIFEMARK SECURITIES CORP. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 149777 | MORGAN STANLEY | Self | 10/30/2024 | ||
| 2024 | Q3 | 316477 | DASTA FINANCIAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 103792 | EF HUTTON LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 6627 | EQUITABLE ADVISORS, LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 265 | EQUITY SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 11826 | LIME TRADING CORP | Self | 10/30/2024 | ||
| 2024 | Q3 | 7353 | G.RESEARCH, LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 13071 | APEX CLEARING CORPORATION | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 47215 | SECURITIES EQUITY GROUP - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 29163 | COKER & PALMER - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |