Broker-Dealer | FINRA.org

CITIZENS JMP SECURITIES, LLC

Information

Reporter ID: JSSF
Reporter Type: Broker-Dealer
Current Report URL: https://www.citizensbank.com/corporate-finance/disclosures/citizens-jmp.aspx

Submission History

Submit Date	Report URL	Comments
10-16-2026	https://www.citizensbank.com/corporate-finance/disclosures/citizens-jmp.aspx

PERSHING ADVISOR SOLUTIONS LLC

Information

Reporter ID: PASL
Reporter Type: Broker-Dealer
Current Report URL: https://nms605.karngroup.com/e0a3ed485545465454413d3d

Submission History

Submit Date	Report URL	Comments
09-30-2026	https://nms605.karngroup.com/e0a3ed485545465454413d3d

KEEFE, BRUYETTE & WOODS, INC.

Information

Reporter ID: KBBD
Reporter Type: Broker-Dealer
Current Report URL: https://public.s3.com/rule605/kbwi/

Submission History

Submit Date	Report URL	Comments
09-29-2026	https://public.s3.com/rule605/kbwi/

XP INVESTMENTS US, LLC

Information

Reporter ID: XPUS
Reporter Type: Broker-Dealer
Current Report URL: http://disclosures.bxstech.com/xpus/605/

Submission History

Submit Date	Report URL	Comments
09-29-2026	http://disclosures.bxstech.com/xpus/605/

GOLDMAN SACHS & CO. LLC

Information

Reporter ID: GSBD
Reporter Type: Broker-Dealer
Current Report URL: https://www.goldmansachs.com/compliance-rule605

Submission History

Submit Date	Report URL	Comments
09-25-2026	https://www.goldmansachs.com/compliance-rule605

HAPI

Information

Reporter ID: HAPI
Reporter Type: Broker-Dealer
Current Report URL: https://help.hapi.trade/en/articles/8982954-disclosures

Submission History

Submit Date	Report URL	Comments
09-25-2026	https://help.hapi.trade/en/articles/8982954-disclosures

M1 FINANCE LLC

Information

Reporter ID: MOFO
Reporter Type: Broker-Dealer
Current Report URL: https://m1-production-agreements.s3.us-east-1.amazonaws.com/documents/Important_Trading_and_Pricing_Information.pdf

Submission History

Submit Date	Report URL	Comments
09-25-2026	https://m1-production-agreements.s3.us-east-1.amazonaws.com/documents/Important_Trading_and_Pricing_Information.pdf

MOOMOO FINANCIAL INC.

Information

Reporter ID: FUTM
Reporter Type: Broker-Dealer
Current Report URL: http://public.s3.com/rule605/futm

Submission History

Submit Date	Report URL	Comments
09-25-2026	http://public.s3.com/rule605/futm

DASTA FINANCIAL, LLC

Information

Reporter ID: DUBF
Reporter Type: Broker-Dealer
Current Report URL: https://support.dubapp.com/hc/en-us/articles/56297184013851-DASTA-Financial-LLC-SEC-Rule-605-Execution-Quality-Reports

Submission History

Submit Date	Report URL	Comments
09-24-2026	https://support.dubapp.com/hc/en-us/articles/56297184013851-DASTA-Financial-LLC-SEC-Rule-605-Execution-Quality-Reports

ALBERT SECURITIES, LLC

Information

Reporter ID: ALBS
Reporter Type: Broker-Dealer
Current Report URL: https://public.s3.com/rule605/albs/

Submission History

Submit Date	Report URL	Comments
09-04-2026	https://public.s3.com/rule605/albs/

Subscribe to Broker-Dealer