Broker-Dealer | FINRA.org

ETORO USA SECURITIES INC.

Information

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

Submission History

Submit Date	Report URL	Comments
09-30-2026	https://public.s3.com/rule605/etor/
07-28-2026	https://public.s3.com/rule605/etor/

FIRSTRADE SECURITIES INC.

Information

Reporter ID: FFSI
Reporter Type: Broker-Dealer
Current Report URL: https://www.firstrade.com/legal/order-routing-605

Submission History

Submit Date	Report URL	Comments
09-30-2026	https://www.firstrade.com/legal/order-routing-605
09-29-2026	https://www.firstrade.com/legal/order-routing
09-29-2026	https://www.firstrade.com/legal/order-routing
07-27-2026	https://www.firstrade.com/legal/order-routing

AMERIPRISE FINANCIAL SERVICES, LLC

Information

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

Submission History

Submit Date	Report URL	Comments
07-27-2026	https://public.s3.com/rule605/hrbf/

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

Information

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

Submission History

Submit Date	Report URL	Comments
07-27-2026	https://public.s3.com/rule605/hrbf/

UBS FINANCIAL SERVICES INC.

Information

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

Submission History

Submit Date	Report URL	Comments
07-25-2026	https://public.s3.com/rule605/pwjc

APEX CLEARING CORPORATION

Information

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

Submission History

Submit Date	Report URL	Comments
07-24-2026	https://public.s3.com/rule605/apex

TRADESTATION SECURITIES, INC.

Information

Reporter ID: TRAD
Reporter Type: Broker-Dealer
Current Report URL: https://www.tradestation.com/important-information/sec-rule-606-report-rule-607-disclosure/

Submission History

Submit Date	Report URL	Comments
07-24-2026	https://www.tradestation.com/important-information/sec-rule-606-report-rule-607-disclosure/

RBC CAPITAL MARKETS, LLC

Information

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

Submission History

Submit Date	Report URL	Comments
07-24-2026	https://public.s3.com/rule605/dain/

PAULSON INVESTMENT COMPANY LLC

Information

Reporter ID: PICL
Reporter Type: Broker-Dealer
Current Report URL: https://www.paulsoninvestment.com

Submission History

Submit Date	Report URL	Comments
07-23-2026	https://www.paulsoninvestment.com

AXOS CLEARING LLC

Information

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

Submission History

Submit Date	Report URL	Comments
07-23-2026	https://public.s3.com/rule605/lgnt/

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