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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 | 122225 | BTIG, LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 16204 | LIFEMARK SECURITIES CORP. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 151717 | SOFI SECURITIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 28352 | LANDOLT SECURITIES, INC. - 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 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 7784 | FIDELITY BROKERAGE SERVICES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 147853 | WALLACHBETH CAPITAL LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 29163 | COKER & PALMER - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 6914 | VAN CLEMENS & CO. INCORPORATED - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 47215 | SECURITIES EQUITY GROUP - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, 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 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 41608 | FINTRUST BROKERAGE SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 665 | PIPER SANDLER & CO. | Self | 10/30/2024 | ||
| 2024 | Q3 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 103792 | EF HUTTON LLC | Self | 10/30/2024 | AXOS | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 16204 | LIFEMARK SECURITIES CORP. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 148743 | SPIDERROCK EXS, LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 139515 | MCAP LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., 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 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 28684 | GBM INTERNATIONAL, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 104021 | CHOICETRADE | Self | 10/30/2024 | ||
| 2024 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 26193 | ALAMO CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 2950 | DORN & CO., 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 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 47215 | SECURITIES EQUITY GROUP - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 265 | EQUITY SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 11826 | LIME TRADING CORP | Self | 10/30/2024 | ||
| 2024 | Q3 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 21000 | OAKWOOD CAPITAL 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 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 1175 | BARRETT & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 149777 | MORGAN STANLEY | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT |