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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 665 | PIPER SANDLER & CO. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 13071 | APEX CLEARING CORPORATION | Self | 10/30/2024 | ||
| 2024 | Q3 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 29163 | COKER & PALMER - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 6914 | VAN CLEMENS & CO. INCORPORATED - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 41791 | SANTANDER SECURITIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 42180 | SUNBELT SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 40744 | S.L. REED & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 124583 | J.W. COLE FINANCIAL, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 42180 | SUNBELT SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 284714 | ANOS CAPITAL, LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 148743 | SPIDERROCK EXS, LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 47275 | SCF SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 11826 | LIME TRADING CORP | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 103792 | EF HUTTON LLC | Self | 10/30/2024 | XML | DCSD |
| 2024 | Q3 | 104233 | FLAGSTAR ADVISORS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 155578 | LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | Self | 10/30/2024 | ||
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 139515 | MCAP LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8246 | OPAL SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 7353 | G.RESEARCH, LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 2347 | JEFFERIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 17117 | FIRST HORIZON ADVISORS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 13041 | NATIONAL FINANCIAL SERVICES LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 148493 | ODEON CAPITAL GROUP LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 316477 | DASTA FINANCIAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 42405 | EVERCORE GROUP L.L.C. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | Self | 10/30/2024 | ||
| 2024 | Q3 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 26193 | ALAMO CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 107403 | SPEEDTRADER, INC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 13071 | APEX CLEARING CORPORATION | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 6914 | VAN CLEMENS & CO. INCORPORATED - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 29163 | COKER & PALMER - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 38105 | FMN CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 5376 | MURIEL SIEBERT & CO., LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 151717 | SOFI SECURITIES LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 10/30/2024 |