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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2024 | Q4 | 8174 | UBS FINANCIAL SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2024 | Q4 | 1020 | CANACCORD GENUITY LLC | No | NA | PDF|XML | ADAM |
| 2024 | Q4 | 139665 | BHK SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 165429 | DRIVEWEALTH, LLC | No | NA | XML | |
| 2024 | Q4 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 126291 | CAPFINANCIAL SECURITIES, LLC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 31155 | PORTFOLIO RESOURCES GROUP, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 11173 | NATIONWIDE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 47873 | SAFRA SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 152974 | CREATIVEONE SECURITIES, LLC | No | NA | ||
| 2024 | Q4 | 143570 | DREXEL HAMILTON, LLC | No | NA | ||
| 2024 | Q4 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | No | NA | PDF|XML | |
| 2024 | Q4 | 19714 | BARCLAYS CAPITAL INC. | No | NA | PDF|XML | LEHM |
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | VIRTU AMERICAS LLC | ||
| 2024 | Q4 | 40638 | GUGGENHEIM SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 14455 | U.S. BANCORP ADVISORS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 142783 | MURRAY SECURITIES, INC. | No | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 1101 | NATIXIS SECURITIES AMERICAS LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | GOLDMAN SACHS CUSTODY SOLUTIONS | XML | |
| 2024 | Q4 | 116270 | SEAPORT GLOBAL SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 156757 | BERENBERG CAPITAL MARKETS LLC | No | NA | ||
| 2024 | Q4 | 126588 | VELOCITY CLEARING, LLC | No | NA | XML | |
| 2024 | Q4 | 29678 | AMERICAN HERITAGE SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 15650 | BOLTON GLOBAL CAPITAL | No | NA | ||
| 2024 | Q4 | 43285 | M HOLDINGS SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 19899 | SECU BROKERAGE SERVICES | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 44848 | KOVACK SECURITIES INC. | No | NA | XML | NFS |
| 2024 | Q4 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 47215 | SECURITIES EQUITY GROUP | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 20626 | WORLD INVESTMENTS, INC. | No | NA | XML | |
| 2024 | Q4 | 117176 | AXOS CLEARING LLC | No | NA | ||
| 2024 | Q4 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | No | NA | ||
| 2024 | Q4 | 2002 | GILDER GAGNON HOWE & CO. LLC | No | NA | ||
| 2024 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA | XML | |
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | RAJA | |
| 2024 | Q4 | 13092 | MUTUAL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | BOFA SECURITIES, INC. | XML | |
| 2024 | Q4 | 173847 | OLDEN LANE SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 2903 | MARTIN NELSON & CO., INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 18456 | STONEX SECURITIES INC. | YES - Disclosure | STONEX FINANCIAL INC. | XML | |
| 2024 | Q4 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | No | NA | XML | |
| 2024 | Q4 | 314549 | NORTHBOUND SECURITIES LLC | YES - Disclosure | DRIVEWEALTH, LLC | XML | |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 128929 | GWN SECURITIES INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 31243 | VALMARK SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 10963 | PAPAMARKOU WELLNER & CO., INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 18377 | ROSENBLATT SECURITIES INC. | No | NA | ||
| 2024 | Q4 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | No | NA | ||
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | VIRTU AMERICAS LLC | ||
| 2024 | Q4 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | No | NA | XML | |
| 2024 | Q4 | 316308 | OPTIVER EXECUTION SERVICES LLC | No | NA | ||
| 2024 | Q4 | 10012 | WALL STREET ACCESS | No | NA | ||
| 2024 | Q4 | 292589 | AVENUE SECURITIES LLC | YES - Disclosure | VELOCITY CLEARING, LLC | XML | |
| 2024 | Q4 | 7353 | G.RESEARCH, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 8733 | LPL ENTERPRISE, LLC | No | NA | ||
| 2024 | Q4 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 18466 | CNR SECURITIES, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 1588 | DAVENPORT & COMPANY LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 281065 | OUTSET GLOBAL TRADING LIMITED | No | NA | XML | |
| 2024 | Q4 | 47275 | SCF SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 283078 | MOOMOO FINANCIAL INC. | No | NA | XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | No | NA | ||
| 2024 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | No | NA |