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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 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 17912 | SOGOTRADE, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 155578 | LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 122225 | BTIG, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 173847 | OLDEN LANE SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | 07/30/2024 | ||
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | BTIG, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 288933 | CLEAR STREET LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 149777 | MORGAN STANLEY | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 46047 | HANTZ FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 127404 | PI FINANCIAL (US) CORP. | Self | 07/30/2024 | ||
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 36379 | LENOX FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | WOLVERINE EXECUTION SERVICES, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 305818 | FINTRON INVEST | Self | 07/30/2024 | ||
| 2024 | Q2 | 11826 | LIME TRADING CORP | Self | 07/30/2024 | ||
| 2024 | Q2 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | Self | 07/30/2024 | ||
| 2024 | Q2 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 13854 | SELKIRK INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 41608 | FINTRUST BROKERAGE SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 07/30/2024 | ||
| 2024 | Q2 | 39262 | WESTERN INTERNATIONAL SECURITIES, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 5407 | VBC SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 41608 | FINTRUST BROKERAGE SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | NFS |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/30/2024 | XML | EDFP |
| 2024 | Q2 | 22373 | NAVIGATOR SECURITIES LIMITED - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37711 | STOCK TRADERS - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 14627 | FIRST SECURITIES NORTHWEST, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 285852 | STATE STREET GLOBAL MARKETS, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/30/2024 | MRSC | |
| 2024 | Q2 | 145994 | PENSERRA SECURITIES, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 165429 | DRIVEWEALTH, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 21687 | WATERFORD CAPITAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 173643 | UCAP AMERICAS - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 41067 | DMK ADVISOR GROUP, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | SBSH | |
| 2024 | Q2 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 154926 | MCDERMOTT INVESTMENT SERVICES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 2024 | Q2 | 3013 | COLONIAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 665 | PIPER SANDLER & CO. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 07/29/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 30773 | STONEX OUTSOURCED SERVICES LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 283942 | BOFA SECURITIES, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 3767 | &PARTNERS | Self | 07/29/2024 | XML | NFS |
| 2024 | Q2 | 43706 | LAMPOST CAPITAL, L.C. | Self | 07/29/2024 | ||
| 2024 | Q2 | 16686 | BMO CAPITAL MARKETS CORP. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 07/29/2024 | XML | NFS13041MPWR |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | NPNT |
| 2024 | Q2 | 277027 | TASTYTRADE, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | XML | |
| 2024 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 628 | FIFTH THIRD SECURITIES, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 17358 | M&T SECURITIES, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 23131 | OSAIC WEALTH, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 894 | WILLIAM O'NEIL SECURITIES | Self | 07/29/2024 | ||
| 2024 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 07/29/2024 |