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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 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 | ||
| 2024 | Q3 | 290215 | VELOX CLEARING LLC | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 104100 | M. S. HOWELLS & CO. | Self | 10/23/2024 | ||
| 2024 | Q3 | 2908 | NEUBERGER BERMAN BD LLC | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 313305 | GREEN PIER FINTECH LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 3767 | &PARTNERS | Self | 10/22/2024 | XML | NFS |
| 2024 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 6271 | TRUIST SECURITIES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | Self | 10/22/2024 | ||
| 2024 | Q3 | 17358 | M&T SECURITIES, INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | PERSHING | |
| 2024 | Q3 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 285852 | STATE STREET GLOBAL MARKETS, LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 313305 | GREEN PIER FINTECH LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | XML | EFGBANK |
| 2024 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 104651 | STATETRUST INVESTMENTS INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 250 | EDWARD JONES | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | EFGBANK | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 285852 | STATE STREET GLOBAL MARKETS, LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 3767 | &PARTNERS | Self | 10/22/2024 | NFS | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | XML | PERSHING |
| 2024 | Q3 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 104651 | STATETRUST INVESTMENTS INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 17358 | M&T SECURITIES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 250 | EDWARD JONES | Self | 10/22/2024 | ||
| 2024 | Q3 | 18476 | TD SECURITIES (USA) LLC | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 877 | WEDBUSH SECURITIES INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q2 | 13035 | SEARLE & CO. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 2764 | MESIROW FINANCIAL, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/21/2024 | ||
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 24771 | BEECH HILL SECURITIES, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 10091 | LESKO SECURITIES INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 10/21/2024 | PERSHING7560GWFS | |
| 2024 | Q3 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 13035 | SEARLE & CO. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 10/21/2024 | ||
| 2024 | Q2 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 18476 | TD SECURITIES (USA) LLC | Self | 10/21/2024 | ||
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 10/21/2024 | ||
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 877 | WEDBUSH SECURITIES INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 10/21/2024 | XML | PERSHING7560GWFS |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q2 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/21/2024 | ||
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 10/21/2024 | ||
| 2024 | Q3 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 10/20/2024 | ||
| 2024 | Q3 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 10/20/2024 | XML | |
| 2024 | Q3 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 13035 | SEARLE & CO. | Self | 10/18/2024 | ||
| 2024 | Q3 | 3496 | STEPHENS | Self | 10/18/2024 | ||
| 2024 | Q3 | 2440 | KIMELMAN & BAIRD, LLC | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 10/18/2024 |