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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 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | INSTINET, LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 282480 | BULL MARKET SECURITIES, INC. - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 5407 | VBC SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 6506 | KUYKENDALL & SCHNEIDER, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 43678 | WILLIAMS TRADING LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 134284 | RQD* CLEARING, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 21687 | WATERFORD CAPITAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 306255 | PRISM FINANCIAL PRODUCTS LP | Self | 10/31/2024 | ||
| 2024 | Q3 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 47770 | CHELSEA FINANCIAL SERVICES - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 10012 | WALL STREET ACCESS | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 25706 | LIBERTY CAPITAL INVESTMENT CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 22373 | NAVIGATOR SECURITIES LIMITED - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/31/2024 | PNSR | |
| 2024 | Q3 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 361 | GOLDMAN SACHS & CO. LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 79 | J.P. MORGAN SECURITIES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 120343 | INTEGRAL FINANCIAL LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 8209 | MORGAN STANLEY & CO. LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 36500 | PICTET OVERSEAS INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 103789 | USCA SECURITIES LLC | Self | 10/31/2024 | XML | MPID1 |
| 2024 | Q3 | 38105 | FMN CAPITAL CORPORATION | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 7654 | UBS SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 46047 | HANTZ FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 132091 | FNBB CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 16843 | FIRSTRADE SECURITIES INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | ||
| 2024 | Q3 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 114993 | CRESCENT SECURITIES GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 13854 | SELKIRK INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 10/31/2024 | SBSH | |
| 2024 | Q3 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 43678 | WILLIAMS TRADING LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 173643 | UCAP AMERICAS - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | ||
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | Self | 10/31/2024 | XML | ADAM |
| 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 | |
| 2024 | Q3 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |