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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| 2024 | Q4 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | PDF|XML | STONEX1 |
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | PDF|XML | STONEX1 |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | PDF|XML | STONEX1 |
| 2025 | Q3 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q4 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q2 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q3 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q3 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q1 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q4 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q1 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q1 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2025 | Q1 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2024 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2025 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2025 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2024 | Q4 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2025 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2025 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2024 | Q2 | 17776 | ZIONS DIRECT, INC. | No | NA | RETAIL | |
| 2025 | Q1 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 140988 | MD GLOBAL PARTNERS, LLC | No | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q1 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q1 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | No | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 29087 | WORLD EQUITY GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q1 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT |