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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2024 | Q4 | 149758 | J.V.B. FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 124583 | J.W. COLE FINANCIAL, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 167280 | JANE STREET EXECUTION SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 463 | JANNEY MONTGOMERY SCOTT LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 2347 | JEFFERIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 19524 | JOHNSON RICE & COMPANY L.L.C. | No | NA | PDF|XML | |
| 2024 | Q4 | 6888 | JONESTRADING | No | NA | PDF|XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 32029 | KA ASSOCIATES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 156175 | KAYAN SECURITIES, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 39356 | KBFG SECURITIES AMERICA INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 127473 | KCD FINANCIAL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 481 | KEEFE, BRUYETTE & WOODS, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 139148 | KEPLER CAPITAL MARKETS, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 42046 | KESTRA INVESTMENT SERVICES, LLC | No | NA | ||
| 2024 | Q4 | 136300 | KEY INVESTMENT SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 566 | KEYBANC CAPITAL MARKETS INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 2440 | KIMELMAN & BAIRD, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 2440 | KIMELMAN & BAIRD, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | RAJA |
| 2024 | Q4 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 44848 | KOVACK SECURITIES INC. | No | NA | PERSHING | |
| 2024 | Q4 | 44848 | KOVACK SECURITIES INC. | No | NA | PDF|XML | NFS |
| 2024 | Q4 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 44848 | KOVACK SECURITIES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 505 | LADENBURG THALMANN & CO. INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | No | NA | ||
| 2024 | Q4 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | PDF|XML | |
| 2024 | Q4 | 47487 | LANDAAS & COMPANY | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | PDF|XML | |
| 2024 | Q4 | 38751 | LEIGH BALDWIN & CO., LLC | No | NA | ||
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 36379 | LENOX FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 10091 | LESKO SECURITIES INC. | No | NA | ||
| 2024 | Q4 | 10091 | LESKO SECURITIES INC. | No | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | EQUITY |