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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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q3 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7560 | PERSHING LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 115547 | SAXONY SECURITIES, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 128089 | CARY STREET PARTNERS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 3618 | TRUBEE WEALTH ADVISORS, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 19585 | HSBC SECURITIES (USA) INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 277027 | TASTYTRADE, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7560 | PERSHING LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 165429 | DRIVEWEALTH, LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 7456 | HUNTLEIGH SECURITIES CORPORATION - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 25427 | CFD INVESTMENTS, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 8478 | THURSTON SPRINGER FINANCIAL - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 146667 | INTERCAM SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 39616 | STONECREST CAPITAL MARKETS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 14458 | INVESTMENT PLACEMENT GROUP - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 104026 | BROAD STREET CAPITAL MARKETS, LLC - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 19537 | FIRST WESTERN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 10/29/2024 | ||
| 2024 | Q3 | 146667 | INTERCAM SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 39616 | STONECREST CAPITAL MARKETS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 148137 | SABADELL SECURITIES USA, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 14458 | INVESTMENT PLACEMENT GROUP - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 15041 | FIRST BANKERS' BANC SECURITIES, INC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 10/28/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | XML | |
| 2024 | Q3 | 3978 | OSAIC FA, INC. | Self | 10/28/2024 | XML | NFS |
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | XML | |
| 2024 | Q3 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | 10/28/2024 | XML | |
| 2024 | Q3 | 19647 | MIZUHO SECURITIES USA LLC | Self | 10/28/2024 | ||
| 2024 | Q2 | 298769 | FUTU CLEARING INC | Self | 10/28/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 10/28/2024 | XML | PERS |
| 2024 | Q3 | 298769 | FUTU CLEARING INC | Self | 10/28/2024 | XML | |
| 2024 | Q2 | 3777 | WILSON-DAVIS & CO., INC. | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 149486 | BTG PACTUAL US CAPITAL, LLC | Self | 10/28/2024 | ||
| 2024 | Q3 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 16686 | BMO CAPITAL MARKETS CORP. | Self | 10/28/2024 | ||
| 2024 | Q3 | 288202 | ALPACA SECURITIES LLC | Self | 10/28/2024 | ||
| 2024 | Q3 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 10/28/2024 | ||
| 2024 | Q3 | 288202 | ALPACA SECURITIES LLC | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 17839 | THE INVESTMENT CENTER, INC. | Self | 10/28/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 10/28/2024 | ||
| 2024 | Q3 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | ||
| 2024 | Q3 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | XML | |
| 2024 | Q3 | 3870 | OSAIC FS, INC. | Self | 10/28/2024 | NFS | |
| 2024 | Q3 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | XML | |
| 2024 | Q3 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Self | 10/28/2024 | ||
| 2024 | Q3 | 19647 | MIZUHO SECURITIES USA LLC | Self | 10/28/2024 | XML | |
| 2024 | Q2 | 298769 | FUTU CLEARING INC | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 30882 | CLARKSONS SECURITIES, INC | Self | 10/28/2024 | ||
| 2024 | Q2 | 3777 | WILSON-DAVIS & CO., INC. | Self | 10/28/2024 | ||
| 2024 | Q3 | 199 | D.A. DAVIDSON & CO. | Self | 10/28/2024 | ||
| 2024 | Q3 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 10/28/2024 | ||
| 2024 | Q3 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 10/28/2024 | ||
| 2024 | Q3 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | Self | 10/28/2024 | ||
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 10/28/2024 | ||
| 2024 | Q3 | 140341 | ELEVATION, LLC | Self | 10/28/2024 | ||
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 10/28/2024 | XML | |
| 2024 | Q3 | 17839 | THE INVESTMENT CENTER, INC. | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 30773 | STONEX OUTSOURCED SERVICES LLC - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 283942 | BOFA SECURITIES, INC. | Self | 10/28/2024 | ||
| 2024 | Q3 | 3978 | OSAIC FA, INC. | Self | 10/28/2024 | NFS | |
| 2024 | Q3 | 30773 | STONEX OUTSOURCED SERVICES LLC - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | XML | |
| 2024 | Q3 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Self | 10/28/2024 | XML | |
| 2024 | Q3 | 3870 | OSAIC FS, INC. | Self | 10/28/2024 | XML | NFS |