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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 | Q4 | 299274 | ALTRUIST FINANCIAL LLC | Self | 01/17/2025 | ||
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | Self | 01/17/2025 | XML | CHBC |
| 2024 | Q4 | 10409 | MML INVESTORS SERVICES, LLC | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 01/17/2025 | ||
| 2024 | Q4 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 01/17/2025 | ||
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 01/17/2025 | ||
| 2024 | Q4 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 877 | WEDBUSH SECURITIES INC. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 125393 | FIRST BALLANTYNE, LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | XML | |
| 2024 | Q4 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | XML | |
| 2024 | Q4 | 26460 | R.W.PRESSPRICH & CO. | Self | 01/17/2025 | ||
| 2024 | Q4 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 01/17/2025 | ||
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | Self | 01/17/2025 | XML | PNSR |
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | Self | 01/17/2025 | ||
| 2024 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | XML | |
| 2024 | Q4 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | XML | |
| 2024 | Q4 | 299274 | ALTRUIST FINANCIAL LLC | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 26460 | R.W.PRESSPRICH & CO. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 01/17/2025 | ||
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 01/17/2025 | XML | |
| 2024 | Q4 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 01/17/2025 | ||
| 2024 | Q4 | 877 | WEDBUSH SECURITIES INC. | Self | 01/17/2025 | ||
| 2024 | Q4 | 125393 | FIRST BALLANTYNE, LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | ||
| 2024 | Q4 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | XML | |
| 2024 | Q4 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 01/17/2025 | XML | |
| 2024 | Q4 | 47768 | FERRETTI GROUP, INC. | Self | 01/16/2025 | ||
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | Self | 01/16/2025 | CHBC | |
| 2024 | Q4 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 01/16/2025 | ||
| 2024 | Q4 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 01/16/2025 | ||
| 2024 | Q4 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 01/16/2025 | ||
| 2024 | Q4 | 11363 | TRIAD SECURITIES CORP | Self | 01/16/2025 | ||
| 2024 | Q4 | 115368 | PARKLAND SECURITIES, LLC | Self | 01/16/2025 | ||
| 2024 | Q4 | 47768 | FERRETTI GROUP, INC. | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 01/16/2025 | ||
| 2024 | Q4 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 14303 | SIGMA FINANCIAL CORPORATION | Self | 01/16/2025 | ||
| 2024 | Q4 | 115368 | PARKLAND SECURITIES, LLC | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 145994 | PENSERRA SECURITIES, LLC | Self | 01/16/2025 | PNSR | |
| 2024 | Q4 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 11869 | PLANMEMBER SECURITIES CORPORATION | Self | 01/16/2025 | ||
| 2024 | Q4 | 14303 | SIGMA FINANCIAL CORPORATION | Self | 01/16/2025 | XML | |
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 01/15/2025 | PERS | |
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 01/15/2025 | XML | NFSC |
| 2024 | Q4 | 20626 | WORLD INVESTMENTS, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 01/15/2025 | PERSHING7560GWFS | |
| 2024 | Q4 | 39914 | WESTPARK CAPITAL, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 106032 | IDB CAPITAL CORP. | Self | 01/15/2025 | ||
| 2024 | Q4 | 2936 | THE O.N. EQUITY SALES COMPANY | Self | 01/15/2025 | ||
| 2024 | Q4 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 01/15/2025 | XML | PERS |
| 2024 | Q2 | 20626 | WORLD INVESTMENTS, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 18975 | DOMINARI SECURITIES LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 39914 | WESTPARK CAPITAL, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 106032 | IDB CAPITAL CORP. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 01/15/2025 | NFSC | |
| 2024 | Q3 | 20626 | WORLD INVESTMENTS, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 01/15/2025 | XML | PERSHING7560GWFS |
| 2024 | Q3 | 18975 | DOMINARI SECURITIES LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 01/15/2025 | ||
| 2024 | Q4 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 01/15/2025 | XML | |
| 2024 | Q4 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 01/15/2025 | ||
| 2024 | Q4 | 7477 | COLLIERS SECURITIES LLC | Self | 01/14/2025 | INFO | |
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 01/14/2025 | ||
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 129052 | PNC INVESTMENTS | Self | 01/14/2025 | ||
| 2024 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 01/14/2025 | ||
| 2024 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 42046 | KESTRA INVESTMENT SERVICES, LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 5167 | NYLIFE SECURITIES LLC | Self | 01/14/2025 | ||
| 2024 | Q4 | 103727 | GAGNON SECURITIES, LLC | Self | 01/14/2025 | SPGLOBAL | |
| 2024 | Q4 | 38964 | CREAND SECURITIES | Self | 01/14/2025 | ||
| 2024 | Q4 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 01/14/2025 | XML | |
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 01/14/2025 | XML |