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 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q1 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 313305 | GREEN PIER FINTECH LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 1763 | GROVE POINT INVESTMENTS, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 128929 | GWN SECURITIES INC. | No | NA | ||
| 2025 | Q1 | 375 | H.C.WAINWRIGHT & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 19258 | HARBOUR INVESTMENTS, INC. | No | NA | ||
| 2025 | Q1 | 3420 | HERBERT J. SIMS & CO, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 30177 | HUNTER ASSOCIATES LLC | No | NA | PDF|XML | INFO |
| 2025 | Q1 | 106032 | IDB CAPITAL CORP. | No | NA | PDF|XML | |
| 2025 | Q1 | 301273 | IMC EXECUTION SERVICES | No | NA | PDF|XML | |
| 2025 | Q1 | 139627 | INTEGRITY ALLIANCE, LLC. | No | NA | ||
| 2025 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | No | NA | ||
| 2025 | Q1 | 19524 | JOHNSON RICE & COMPANY L.L.C. | No | NA | PDF|XML | |
| 2025 | Q1 | 24795 | JOSEPH GUNNAR & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 42046 | KESTRA INVESTMENT SERVICES, LLC | No | NA | ||
| 2025 | Q1 | 136300 | KEY INVESTMENT SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 566 | KEYBANC CAPITAL MARKETS INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 2440 | KIMELMAN & BAIRD, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 44848 | KOVACK SECURITIES INC. | No | NA | PDF|XML | NFS |
| 2025 | Q1 | 44848 | KOVACK SECURITIES INC. | No | NA | PDF|XML | PERSHING |
| 2025 | Q1 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | PDF|XML | |
| 2025 | Q1 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | PDF|XML | |
| 2025 | Q1 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 165828 | LION STREET FINANCIAL, LLC | No | NA | XML | |
| 2025 | Q1 | 43098 | LOOP CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 283701 | MARKET SECURITIES, LLC | No | NA | ||
| 2025 | Q1 | 2764 | MESIROW FINANCIAL, INC. | No | NA | ||
| 2025 | Q1 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | No | NA | ||
| 2025 | Q1 | 37818 | MISCHLER FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 10409 | MML INVESTORS SERVICES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 309574 | MONDEUM CAPITAL | No | NA | PDF|XML | |
| 2025 | Q1 | 12963 | MONEY CONCEPTS CAPITAL CORP | No | NA | ||
| 2025 | Q1 | 283078 | MOOMOO FINANCIAL INC. | No | NA | ||
| 2025 | Q1 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 13092 | MUTUAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 39455 | NATALLIANCE SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 2908 | NEUBERGER BERMAN BD LLC | No | NA | XML | |
| 2025 | Q1 | 46214 | NEXT FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 15768 | NOBLE CAPITAL MARKETS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 148158 | NORTH SOUTH CAPITAL, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 5167 | NYLIFE SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 42060 | OBERWEIS SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 35371 | OSAIC INSTITUTIONS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 134657 | PAR5 CAPITAL & CO LLC | No | NA | XML | |
| 2025 | Q1 | 46173 | PARK AVENUE SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 115368 | PARKLAND SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PDF|XML | CHBC |
| 2025 | Q1 | 145994 | PENSERRA SECURITIES, LLC | No | NA | XML | PNSR |