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 | Q2 | 3767 | &PARTNERS | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 14020 | ABN AMRO CLEARING USA LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 41768 | ACE DIVERSIFIED CAPITAL, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2025 | Q2 | 139049 | ACP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | No | NA | XML | PERSHING |
| 2025 | Q2 | 286504 | ALLARIA SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 1042 | ALLEN & COMPANY LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 41139 | ALTERNA SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | PDF|XML | |
| 2025 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 284714 | ANOS CAPITAL, LLC | No | NA | XML | |
| 2025 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 16629 | ASHTON THOMAS SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 7995 | AUSDAL FINANCIAL PARTNERS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 173962 | BANKERS LIFE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 70 | BCG SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 168047 | BCI SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | No | NA | PDF|XML | |
| 2025 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 158599 | BOREAL CAPITAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 159384 | BRASIL PLURAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 6183 | C. L. KING & ASSOCIATES, INC. | No | NA | ||
| 2025 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 126291 | CAPFINANCIAL SECURITIES, LLC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2025 | Q2 | 36538 | CELADON FINANCIAL GROUP LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | PDF|XML | |
| 2025 | Q2 | 10299 | CETERA ADVISORS LLC | No | NA |