For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2025 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | No | NA | XML | |
| 2025 | Q2 | 665 | PIPER SANDLER & CO. | No | NA | ||
| 2025 | Q2 | 41257 | DASH PRIME LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2025 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | No | NA | XML | |
| 2025 | Q2 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | OPTIONS | |
| 2025 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | No | NA | ||
| 2025 | Q2 | 134284 | RQD* CLEARING, LLC | No | NA | ||
| 2025 | Q2 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | No | NA | XML | |
| 2025 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q2 | 5407 | VBC SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q2 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q2 | 127787 | SORRENTO PACIFIC FINANCIAL, LLC | No | NA | XML | |
| 2025 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 10963 | PAPAMARKOU WELLNER & CO., INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML | |
| 2025 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q2 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q2 | 153906 | QUANTRIVER FINANCIAL, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2025 | Q3 | 32889 | PRIME EXECUTIONS, INC. | No | NA | ||
| 2025 | Q3 | 40258 | NORTHLAND SECURITIES, INC. | No | NA | ||
| 2025 | Q3 | 103727 | GAGNON SECURITIES, LLC | No | NA | XML | SPGLOBAL |
| 2025 | Q1 | 2440 | KIMELMAN & BAIRD, LLC | No | NA | ||
| 2025 | Q3 | 42180 | SUNBELT SECURITIES, INC. | No | NA | ||
| 2025 | Q1 | 5167 | NYLIFE SECURITIES LLC | No | NA | XML | |
| 2025 | Q3 | 1020 | CANACCORD GENUITY LLC | No | NA | ||
| 2025 | Q1 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | No | NA | ||
| 2025 | Q3 | 18377 | ROSENBLATT SECURITIES INC. | No | NA | ||
| 2025 | Q1 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | EQUITY |
| 2025 | Q3 | 11826 | LIME TRADING CORP | No | NA | ||
| 2025 | Q1 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | No | NA | ||
| 2025 | Q3 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q1 | 463 | JANNEY MONTGOMERY SCOTT LLC | No | NA | XML | |
| 2025 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | XML | EDFP |
| 2025 | Q1 | 14455 | U.S. BANCORP ADVISORS, LLC | No | NA | ||
| 2025 | Q3 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2025 | Q1 | 10740 | PROSPERA FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 7353 | G.RESEARCH, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2025 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 7897 | INSTINET, LLC | No | NA | XML | |
| 2025 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 6220 | HILLTOP SECURITIES INC. | No | NA | ||
| 2025 | Q3 | 39550 | CITIZENS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q1 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q3 | 38770 | D.M. KELLY & COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2025 | Q1 | 39550 | CITIZENS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | BOFA SECURITIES, INC. | XML | |
| 2025 | Q1 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | BOFA SECURITIES, INC. | XML | |
| 2025 | Q3 | 116270 | SEAPORT GLOBAL SECURITIES LLC | No | NA | ||
| 2025 | Q1 | 104982 | TRADIER BROKERAGE, INC. | No | NA | ||
| 2025 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | ||
| 2025 | Q1 | 79 | J.P. MORGAN SECURITIES LLC | No | NA | ||
| 2025 | Q3 | 13041 | NATIONAL FINANCIAL SERVICES LLC | No | NA | XML | |
| 2025 | Q3 | 104005 | BULLTICK, LLC | No | NA | XML | |
| 2025 | Q1 | 282480 | BULL MARKET SECURITIES, INC. | YES - Disclosure | STONEX FINANCIAL INC. | ||
| 2025 | Q3 | 42677 | MDB CAPITAL | No | NA | XML | |
| 2025 | Q1 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 281065 | OUTSET GLOBAL TRADING LIMITED | YES - Disclosure | GOLDMAN SACHS & CO. LLC | XML | |
| 2025 | Q3 | 316641 | FREC SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2025 | Q1 | 287728 | STASH CAPITAL LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2025 | Q3 | 103792 | D. BORAL CAPITAL | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q1 | 282756 | FIRST SOUTHERN, LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q1 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q1 | 7560 | PERSHING LLC | No | NA | ||
| 2025 | Q3 | 148137 | SABADELL SECURITIES USA, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q1 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q3 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q1 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q1 | 505 | LADENBURG THALMANN & CO. INC. | No | NA | XML | |
| 2025 | Q2 | 130030 | TRADEMAS INC. | No | NA | ||
| 2025 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | No | NA | ||
| 2025 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | No | NA | XML | PERSHING |
| 2025 | Q2 | 139148 | KEPLER CAPITAL MARKETS, INC. | No | NA | XML | |
| 2025 | Q2 | 141238 | DEMPSEY LORD SMITH, LLC | No | NA | XML | |
| 2025 | Q2 | 14020 | ABN AMRO CLEARING USA LLC | No | NA | XML | |
| 2025 | Q2 | 39473 | TRADESTATION SECURITIES, INC. | No | NA | XML | |
| 2025 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | XML | |
| 2025 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | No | NA | ||
| 2025 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2025 | Q2 | 269966 | TORNADO | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2025 | Q2 | 25425 | HOVDE GROUP, LLC | No | NA | ||
| 2025 | Q2 | 281065 | OUTSET GLOBAL TRADING LIMITED | No | NA | XML | |
| 2025 | Q2 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q2 | 15916 | SIGNAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q2 | 141238 | DEMPSEY LORD SMITH, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q2 | 38123 | BRINKER CAPITAL SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | XML |