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 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | AXOS CLEARING LLC | XML | |
| 2024 | Q4 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 20626 | WORLD INVESTMENTS, INC. | No | NA | ||
| 2024 | Q4 | 41791 | SANTANDER SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | RAJA |
| 2024 | Q4 | 283701 | MARKET SECURITIES, LLC | No | NA | ||
| 2024 | Q4 | 17486 | G. A. REPPLE & COMPANY | No | NA | XML | |
| 2024 | Q4 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | No | NA | ||
| 2024 | Q4 | 120343 | INTEGRAL FINANCIAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 25706 | LIBERTY CAPITAL INVESTMENT CORPORATION | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 5670 | PAULSON INVESTMENT COMPANY LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 140341 | ELEVATION, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 46300 | TJM INVESTMENTS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 147853 | WALLACHBETH CAPITAL LLC | No | NA | ||
| 2024 | Q4 | 10740 | PROSPERA FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 130030 | TRADEMAS INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 2024 | Q4 | 282756 | FIRST SOUTHERN, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 117284 | AMERANT INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 155523 | TC2000 BROKERAGE, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2024 | Q4 | 103789 | USCA SECURITIES LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 41608 | FINTRUST BROKERAGE SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | No | NA | XML | |
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 199 | D.A. DAVIDSON & CO. | No | NA | PDF|XML | |
| 2024 | Q4 | 17358 | M&T SECURITIES, INC. | No | NA | XML | |
| 2024 | Q4 | 290215 | VELOX CLEARING LLC | No | NA | XML | |
| 2024 | Q4 | 153407 | WEALTHFRONT BROKERAGE LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 126201 | X-CHANGE FINANCIAL ACCESS, LLC | No | NA | XML | |
| 2024 | Q4 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | ALPACA SECURITIES LLC | XML | |
| 2024 | Q4 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | No | NA | ||
| 2024 | Q4 | 148493 | ODEON CAPITAL GROUP LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 38455 | MATRIX EXECUTIONS, LLC | No | NA | XML | |
| 2024 | Q4 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 39473 | TRADESTATION SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | ||
| 2024 | Q4 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | YES - Disclosure | PERSHING LLC | ||
| 2024 | Q4 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 70 | BCG SECURITIES, INC. | YES - Disclosure | PERSHING LLC | XML | |
| 2024 | Q4 | 36418 | INTERACTIVE BROKERS LLC | No | NA | ||
| 2024 | Q4 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q4 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 13041 | NATIONAL FINANCIAL SERVICES LLC | No | NA | XML | |
| 2024 | Q4 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 2764 | MESIROW FINANCIAL, INC. | No | NA | XML | |
| 2024 | Q4 | 38690 | CORPORATE INVESTMENTS GROUP, INC. | YES - Disclosure | AXOS CLEARING LLC | ||
| 2024 | Q4 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | XML | |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | XML | RAJA |
| 2024 | Q4 | 134 | CANTOR FITZGERALD & CO. | No | NA | ||
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | BOFA SECURITIES, INC. | ||
| 2024 | Q4 | 127473 | KCD FINANCIAL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | ||
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | ||
| 2024 | Q4 | 44181 | NATIONS FINANCIAL GROUP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | ||
| 2024 | Q4 | 47788 | BETTERMENT SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | XML | |
| 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 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q4 | 290298 | FORTRESS PRIVATE LEDGER, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | XML | |
| 2024 | Q4 | 284714 | ANOS CAPITAL, LLC | No | NA | XML | |
| 2024 | Q4 | 104233 | FLAGSTAR ADVISORS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 7691 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | No | NA | ||
| 2024 | Q4 | 265 | EQUITY SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | XML | |
| 2024 | Q4 | 250 | EDWARD JONES | No | NA | ||
| 2024 | Q4 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOX CLEARING LLC | XML | |
| 2024 | Q4 | 2903 | MARTIN NELSON & CO., INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q4 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | XML | CGWM |
| 2024 | Q4 | 288202 | ALPACA SECURITIES LLC | No | NA | XML | |
| 2024 | Q4 | 107403 | SPEEDTRADER, INC | No | NA | XML | |
| 2024 | Q4 | 139148 | KEPLER CAPITAL MARKETS, INC. | No | NA | XML | |
| 2024 | Q4 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | XML | |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | APEX CLEARING CORPORATION |