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 | Q1 | 17433 | ACADEMY SECURITIES, INC. | No | NA | ||
| 2025 | Q1 | 1042 | ALLEN & COMPANY LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 41139 | ALTERNA SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 299274 | ALTRUIST FINANCIAL LLC | No | NA | PDF|XML | ALTR |
| 2025 | Q1 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 284714 | ANOS CAPITAL, LLC | No | NA | ||
| 2025 | Q1 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 316232 | BANCOLOMBIA CAPITAL LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 19714 | BARCLAYS CAPITAL INC. | No | NA | PDF|XML | LEHM |
| 2025 | Q1 | 39944 | BAY CREST PARTNERS, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | No | NA | PDF|XML | |
| 2025 | Q1 | 17530 | BOK FINANCIAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 10641 | CADARET, GRANT & CO., INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 13572 | CETERA ADVISOR NETWORKS LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 10299 | CETERA ADVISORS LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 15340 | CETERA INVESTMENT SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 25427 | CFD INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 128711 | CHICKASAW SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 143221 | CICC US SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 22208 | CITIZENS JMP SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 103705 | CITY NATIONAL SECURITIES, INC. | No | NA | XML | |
| 2025 | Q1 | 165533 | CLSA AMERICAS, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 18466 | CNR SECURITIES, LLC | No | NA | ||
| 2025 | Q1 | 7477 | COLLIERS SECURITIES LLC | No | NA | PDF|XML | INFO |
| 2025 | Q1 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 121395 | CRAIG-HALLUM CAPITAL GROUP LLC | No | NA | XML | |
| 2025 | Q1 | 38964 | CREAND SECURITIES | No | NA | PDF|XML | |
| 2025 | Q1 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 199 | D.A. DAVIDSON & CO. | No | NA | PDF|XML | |
| 2025 | Q1 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 130645 | DAWSON JAMES SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 308213 | DIGITAL BROKERAGE SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 1660 | DOFT & CO., INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | ||
| 2025 | Q1 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PDF|XML | PERSHING |
| 2025 | Q1 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PDF|XML | EFGBANK |
| 2025 | Q1 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | No | NA | PDF|XML | PERSHING7560GWFS |
| 2025 | Q1 | 145276 | ETC BROKERAGE SERVICES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 159481 | FENIX SECURITIES, LLC | No | NA | ||
| 2025 | Q1 | 47768 | FERRETTI GROUP, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 32460 | FIRST HEARTLAND CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 38373 | FORTE SECURITIES LLC | No | NA | ||
| 2025 | Q1 | 17465 | FROST BROKERAGE SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q1 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 2002 | GILDER GAGNON HOWE & CO. LLC | No | NA | PDF|XML |