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 | Q1 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | XML | |
| 2025 | Q1 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA | ||
| 2025 | Q3 | 2764 | MESIROW FINANCIAL, INC. | No | NA | ||
| 2025 | Q1 | 46214 | NEXT FINANCIAL GROUP, INC. | No | NA | XML | |
| 2025 | Q1 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | EQUITY | |
| 2025 | Q3 | 156757 | BERENBERG CAPITAL MARKETS LLC | No | NA | ||
| 2025 | Q1 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | No | NA | XML | |
| 2025 | Q3 | 6220 | HILLTOP SECURITIES INC. | No | NA | XML | |
| 2025 | Q1 | 39462 | CHURCHILL FINANCIAL, LLC | No | NA | ||
| 2025 | Q3 | 142374 | AVENTURA SECURITIES, LLC | No | NA | ||
| 2025 | Q1 | 18377 | ROSENBLATT SECURITIES INC. | No | NA | ||
| 2025 | Q3 | 29087 | WORLD EQUITY GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2025 | Q1 | 39062 | UNITED BROKERAGE SERVICES, INC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q1 | 28116 | CHAPIN, DAVIS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2025 | Q3 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q1 | 16843 | FIRSTRADE SECURITIES INC. | No | NA | XML | |
| 2025 | Q3 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 37711 | STOCK TRADERS | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2025 | Q1 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | FIDELITY BROKERAGE SERVICES LLC | XML | |
| 2025 | Q3 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q1 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | VIRTU AMERICAS LLC | XML | |
| 2025 | Q1 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | XML | NPTP |
| 2025 | Q3 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | XML | |
| 2025 | Q1 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | XML | CGWM |
| 2025 | Q3 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | OPTIONS |
| 2025 | Q3 | 265 | EQUITY SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q1 | 19982 | GFI SECURITIES LLC | No | NA | ||
| 2025 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | ||
| 2025 | Q1 | 45993 | STONEX FINANCIAL INC. | No | NA | XML | |
| 2025 | Q3 | 6888 | JONESTRADING | No | NA | XML | |
| 2025 | Q1 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q3 | 104065 | NEWBRIDGE SECURITIES CORPORATION | No | NA | ||
| 2025 | Q3 | 151085 | HARBOR INVESTMENT ADVISORY, LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q1 | 311868 | HAPI | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2025 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q1 | 104474 | SANFORD C. BERNSTEIN & CO., LLC | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q1 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q3 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q1 | 6564 | SF INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q3 | 39164 | 1ST DISCOUNT BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2025 | Q1 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q3 | 43520 | J.H. DARBIE & CO., INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2025 | Q1 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q1 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2025 | Q1 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q2 | 1042 | ALLEN & COMPANY LLC | No | NA | ||
| 2025 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | No | NA | ||
| 2025 | Q2 | 146193 | MIURA CAPITAL, LLC | No | NA | ||
| 2025 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | DRIVEWEALTH, LLC | XML | |
| 2025 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | No | NA | XML | |
| 2025 | Q2 | 283078 | MOOMOO FINANCIAL INC. | No | NA | XML | |
| 2025 | Q2 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | GOLDMAN SACHS CUSTODY SOLUTIONS | ||
| 2025 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | No | NA | ||
| 2025 | Q2 | 23131 | OSAIC WEALTH, INC. | No | NA | XML | |
| 2025 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | No | NA | EDFP | |
| 2025 | Q2 | 122225 | BTIG, LLC | No | NA | XML | |
| 2025 | Q2 | 316641 | FREC SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2025 | Q2 | 7897 | INSTINET, LLC | No | NA | XML | |
| 2025 | Q2 | 172393 | AXOS INVEST LLC | No | NA | ||
| 2025 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | No | NA | ||
| 2025 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2025 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2025 | Q2 | 120343 | INTEGRAL FINANCIAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q2 | 173962 | BANKERS LIFE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q2 | 130032 | EMERSON EQUITY LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q2 | 31741 | HALLIDAY FINANCIAL, LLC | YES - Disclosure | PERSHING LLC | ||
| 2025 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | YES - Disclosure | PERSHING LLC | XML | |
| 2025 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 29087 | WORLD EQUITY GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 7763 | CENTENNIAL SECURITIES COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2025 | Q2 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2025 | Q3 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | ||
| 2025 | Q3 | 11869 | PLANMEMBER SECURITIES CORPORATION | No | NA | ||
| 2025 | Q3 | 38993 | HEIM, YOUNG & ASSOCIATES, INC. | No | NA | ||
| 2025 | Q1 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | XML | |
| 2025 | Q3 | 14178 | REVERE SECURITIES LLC | No | NA | XML | |
| 2025 | Q1 | 17499 | TRUIST INVESTMENT SERVICES, INC. | No | NA | ||
| 2025 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | No | NA | XML | |
| 2025 | Q1 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | No | NA | XML | |
| 2025 | Q3 | 125393 | FIRST BALLANTYNE, LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | ||
| 2025 | Q1 | 309574 | MONDEUM CAPITAL | No | NA | XML | |
| 2025 | Q3 | 284714 | ANOS CAPITAL, LLC | No | NA | XML | |
| 2025 | Q1 | 17530 | BOK FINANCIAL SECURITIES, INC. | No | NA | ||
| 2025 | Q3 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2025 | Q1 | 104100 | M. S. HOWELLS & CO. | No | NA | XML | |
| 2025 | Q3 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2025 | Q1 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | XML | |
| 2025 | Q3 | 288933 | CLEAR STREET LLC | No | NA | XML | |
| 2025 | Q1 | 136131 | ALLY INVEST SECURITIES LLC | No | NA | APEXFLOW | |
| 2025 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |