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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 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 11/20/2024 | ||
| 2024 | Q3 | 35371 | OSAIC INSTITUTIONS, INC. | Self | 11/20/2024 | ||
| 2024 | Q3 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 11/20/2024 | XML | |
| 2024 | Q3 | 35371 | OSAIC INSTITUTIONS, INC. | Self | 11/20/2024 | XML | |
| 2024 | Q3 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 11/18/2024 | ||
| 2024 | Q3 | 18483 | TRADEUP SECURITIES, INC. | Self | 11/15/2024 | XML | |
| 2024 | Q3 | 18483 | TRADEUP SECURITIES, INC. | Self | 11/15/2024 | ||
| 2024 | Q3 | 134657 | PAR5 CAPITAL & CO LLC | Self | 11/13/2024 | XML | |
| 2024 | Q3 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | Self | 11/13/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 11/13/2024 | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 11/13/2024 | ||
| 2024 | Q3 | 123649 | GLENDALE SECURITIES, INC. | Self | 11/12/2024 | ||
| 2024 | Q3 | 283078 | MOOMOO FINANCIAL INC. | Self | 11/11/2024 | ||
| 2024 | Q3 | 39262 | WESTERN INTERNATIONAL SECURITIES, INC. | Self | 11/11/2024 | ||
| 2024 | Q3 | 42132 | CUSO FINANCIAL SERVICES, L.P. | Self | 11/07/2024 | ||
| 2024 | Q3 | 289063 | WEBULL FINANCIAL LLC | Self | 11/06/2024 | XML | |
| 2024 | Q3 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | Self | 11/06/2024 | ||
| 2024 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | Self | 11/04/2024 | ||
| 2024 | Q3 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | Self | 11/04/2024 | XML | |
| 2024 | Q2 | 283078 | MOOMOO FINANCIAL INC. | Self | 11/04/2024 | ||
| 2024 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | Self | 11/04/2024 | XML | |
| 2024 | Q2 | 283078 | MOOMOO FINANCIAL INC. | Self | 11/04/2024 | IBKR1 | |
| 2024 | Q3 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | Self | 11/04/2024 | ||
| 2024 | Q3 | 172393 | AXOS INVEST LLC | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 11/01/2024 | XML | CCMB |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 11/01/2024 | XML | MPSG |
| 2024 | Q2 | 7320 | SHEARMAN, RALSTON INC. | Self | 11/01/2024 | ||
| 2024 | Q3 | 7320 | SHEARMAN, RALSTON INC. | Self | 11/01/2024 | ||
| 2024 | Q3 | 132078 | COBRA TRADING, INC. | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 138033 | GAR WOOD SECURITIES, LLC | Self | 11/01/2024 | XML | GARW |
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | WOLVERINE EXECUTION SERVICES, LLC | 11/01/2024 | ||
| 2024 | Q3 | 126588 | VELOCITY CLEARING, LLC | Self | 11/01/2024 | ||
| 2024 | Q3 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 11/01/2024 | ||
| 2024 | Q3 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOCITY CLEARING, LLC | 11/01/2024 | XML | |
| 2024 | Q3 | 172393 | AXOS INVEST LLC | Self | 11/01/2024 | ||
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 11/01/2024 | XML | CNFR |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 11/01/2024 | XML | NPNT |
| 2024 | Q2 | 7320 | SHEARMAN, RALSTON INC. | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 7616 | COWEN AND COMPANY | Self | 11/01/2024 | ||
| 2024 | Q3 | 46300 | TJM INVESTMENTS, LLC | Self | 11/01/2024 | ||
| 2024 | Q3 | 138033 | GAR WOOD SECURITIES, LLC | Self | 11/01/2024 | GARW | |
| 2024 | Q3 | 138033 | GAR WOOD SECURITIES, LLC | Self | 11/01/2024 | XML | GRWD |
| 2024 | Q3 | 120719 | WOLVERINE EXECUTION SERVICES, LLC | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 292589 | AVENUE SECURITIES LLC - Disclosure | VELOCITY CLEARING, LLC | 11/01/2024 | ||
| 2024 | Q3 | 126588 | VELOCITY CLEARING, LLC | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 11/01/2024 | XML | |
| 2024 | Q3 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 11/01/2024 | ||
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 11/01/2024 | XML | EDFC |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 11/01/2024 | XML | NPTP |
| 2024 | Q3 | 7320 | SHEARMAN, RALSTON INC. | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. | Self | 11/01/2024 | ||
| 2024 | Q3 | 46300 | TJM INVESTMENTS, LLC | Self | 11/01/2024 | XML | |
| 2024 | Q3 | 138033 | GAR WOOD SECURITIES, LLC | Self | 11/01/2024 | GRWD | |
| 2024 | Q3 | 120719 | WOLVERINE EXECUTION SERVICES, LLC | Self | 11/01/2024 | ||
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | WOLVERINE EXECUTION SERVICES, LLC | 11/01/2024 | XML | |
| 2024 | Q3 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOCITY CLEARING, LLC | 11/01/2024 | ||
| 2024 | Q3 | 292589 | AVENUE SECURITIES LLC - Disclosure | VELOCITY CLEARING, LLC | 11/01/2024 | XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 10012 | WALL STREET ACCESS | Self | 10/31/2024 | ||
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 22373 | NAVIGATOR SECURITIES LIMITED - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/31/2024 | XML | CHBC |
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | Self | 10/31/2024 | XML | CSTI |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 10/31/2024 | ||
| 2024 | Q3 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 14143 | SYCAMORE FINANCIAL GROUP - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 8209 | MORGAN STANLEY & CO. LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 127818 | OPEN TO THE PUBLIC INVESTING, INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 14178 | REVERE SECURITIES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 38105 | FMN CAPITAL CORPORATION | Self | 10/31/2024 | ||
| 2024 | Q3 | 7654 | UBS SECURITIES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 32754 | MARK J. MULLER EQUITIES, INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 16325 | STERN BROTHERS & CO. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/31/2024 | XML | APEXFLOW |
| 2024 | Q3 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 42057 | ARVEST WEALTH MANAGEMENT | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 42847 | POLAR INVESTMENT COUNSEL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 127473 | KCD FINANCIAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 10/31/2024 | SBSH | |
| 2024 | Q3 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/31/2024 | APEXFLOW | |
| 2024 | Q3 | 45993 | STONEX FINANCIAL INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | Self | 10/31/2024 | ADAM | |
| 2024 | Q3 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 139107 | FIRST ASSET FINANCIAL INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 10/31/2024 | XML | SBSH |
| 2024 | Q3 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 10/31/2024 | XML | |
| 2024 | Q2 | 36500 | PICTET OVERSEAS INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | ||
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | Self | 10/31/2024 | XML |