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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 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 10/28/2024 | ||
| 2024 | Q3 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Self | 10/28/2024 | XML | |
| 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 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | 10/28/2024 | ||
| 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 | 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 | 116681 | HIGHTOWER SECURITIES, LLC | Self | 10/27/2024 | XML | |
| 2024 | Q3 | 116681 | HIGHTOWER SECURITIES, LLC | Self | 10/27/2024 | ||
| 2024 | Q3 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 10/25/2024 | XML | |
| 2024 | Q3 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 10/25/2024 | XML | NFSC |
| 2024 | Q3 | 120583 | US TIGER SECURITIES, INC. | Self | 10/25/2024 | ||
| 2024 | Q3 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 10/25/2024 | ||
| 2024 | Q3 | 120583 | US TIGER SECURITIES, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 628 | FIFTH THIRD SECURITIES, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q2 | 172393 | AXOS INVEST LLC | Self | 10/25/2024 | ||
| 2024 | Q3 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML | |
| 2024 | Q3 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 10/25/2024 | ||
| 2024 | Q2 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML | |
| 2024 | Q3 | 283701 | MARKET SECURITIES, LLC | Self | 10/25/2024 | XML | |
| 2024 | Q2 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | ||
| 2024 | Q2 | 117176 | AXOS CLEARING LLC | Self | 10/25/2024 | ||
| 2024 | Q3 | 7452 | VANGUARD MARKETING CORPORATION | Self | 10/25/2024 | ||
| 2024 | Q3 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 10/25/2024 | ||
| 2024 | Q3 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 10/25/2024 | PERS | |
| 2024 | Q3 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML | |
| 2024 | Q3 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 10/25/2024 | ||
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML | |
| 2024 | Q3 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 10/25/2024 | XML | |
| 2024 | Q2 | 146251 | SPARTAN CAPITAL SECURITIES, LLC - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML | |
| 2024 | Q3 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 10/25/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | ||
| 2024 | Q2 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | ||
| 2024 | Q3 | 7452 | VANGUARD MARKETING CORPORATION | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 10/25/2024 | ||
| 2024 | Q3 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 10/25/2024 | NFSC | |
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 10/25/2024 | XML | PERS |
| 2024 | Q3 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 10/25/2024 | ||
| 2024 | Q3 | 628 | FIFTH THIRD SECURITIES, INC. | Self | 10/25/2024 | ||
| 2024 | Q3 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 10/25/2024 | ||
| 2024 | Q3 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 10/25/2024 | ||
| 2024 | Q2 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | XML | |
| 2024 | Q3 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 10/25/2024 | ||
| 2024 | Q2 | 117176 | AXOS CLEARING LLC | Self | 10/25/2024 | XML | |
| 2024 | Q3 | 283701 | MARKET SECURITIES, LLC | Self | 10/25/2024 | ||
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | AXOS CLEARING LLC | 10/25/2024 | ||
| 2024 | Q3 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 10/25/2024 | XML | |
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | AXOS CLEARING LLC | 10/25/2024 | ||
| 2024 | Q2 | 146251 | SPARTAN CAPITAL SECURITIES, LLC - Disclosure | AXOS CLEARING LLC | 10/25/2024 | ||
| 2024 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 10/25/2024 | ||
| 2024 | Q3 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | Self | 10/24/2024 | ||
| 2024 | Q3 | 305818 | FINTRON INVEST | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | Self | 10/24/2024 | ||
| 2024 | Q3 | 25425 | HOVDE GROUP, LLC | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 10/24/2024 | ||
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 10/24/2024 | ||
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 10/24/2024 | XML | |
| 2024 | Q3 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 305818 | FINTRON INVEST | Self | 10/24/2024 | ||
| 2024 | Q3 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 10/24/2024 | ||
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 10/24/2024 | XML | |
| 2024 | Q3 | 11363 | TRIAD SECURITIES CORP | Self | 10/24/2024 | ||
| 2024 | Q3 | 14171 | BETTINGER & LEECH FINANCIAL CORP. | Self | 10/24/2024 | XML | |
| 2024 | Q2 | 14171 | BETTINGER & LEECH FINANCIAL CORP. | Self | 10/24/2024 | XML | |
| 2024 | Q3 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 10/24/2024 | ||
| 2024 | Q3 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 10/24/2024 | ||
| 2024 | Q3 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 290215 | VELOX CLEARING LLC | Self | 10/23/2024 | ||
| 2024 | Q3 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 10/23/2024 | XML | |
| 2024 | Q3 | 104100 | M. S. HOWELLS & CO. | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 15650 | BOLTON GLOBAL CAPITAL | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 19714 | BARCLAYS CAPITAL INC. | Self | 10/23/2024 | LEHM | |
| 2024 | Q3 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 10/23/2024 | ||
| 2024 | Q3 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 10/23/2024 | ||
| 2024 | Q3 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 10/23/2024 | ||
| 2024 | Q3 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 10/23/2024 |