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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 | 35371 | OSAIC INSTITUTIONS, INC. | Self | 11/20/2024 | XML | |
| 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 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 11/18/2024 | ||
| 2024 | Q3 | 18483 | TRADEUP SECURITIES, INC. | Self | 11/15/2024 | ||
| 2024 | Q3 | 18483 | TRADEUP SECURITIES, INC. | Self | 11/15/2024 | XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 11/13/2024 | ||
| 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 | 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 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | Self | 11/06/2024 | ||
| 2024 | Q3 | 289063 | WEBULL FINANCIAL LLC | Self | 11/06/2024 | 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 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | Self | 11/04/2024 | ||
| 2024 | Q3 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | Self | 11/04/2024 | XML | |
| 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 | 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 | 132091 | FNBB CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 154926 | MCDERMOTT INVESTMENT SERVICES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | ||
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 10/31/2024 | CGWM | |
| 2024 | Q3 | 3777 | WILSON-DAVIS & CO., INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | Self | 10/31/2024 | STONEX1 | |
| 2024 | Q3 | 154926 | MCDERMOTT INVESTMENT SERVICES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 38923 | GVC CAPITAL LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 14627 | FIRST SECURITIES NORTHWEST, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 149823 | VIRTU AMERICAS LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 10/31/2024 | XML | CGWM |
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 10/31/2024 | ||
| 2024 | Q3 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 173847 | OLDEN LANE SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 173847 | OLDEN LANE SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 38455 | MATRIX EXECUTIONS, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | INSTINET, LLC | 10/31/2024 | ||
| 2024 | Q3 | 45993 | STONEX FINANCIAL INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 3013 | COLONIAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 5407 | VBC SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q2 | 32754 | MARK J. MULLER EQUITIES, INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 6413 | LPL FINANCIAL LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 281867 | OLD MISSION MARKETS LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 16686 | BMO CAPITAL MARKETS CORP. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 8089 | TZ CLEAR LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 134284 | RQD* CLEARING, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 46047 | HANTZ FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6506 | KUYKENDALL & SCHNEIDER, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 10/31/2024 | XML |