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 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/03/2024 | SPGLOBAL | |
| 2024 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 11869 | PLANMEMBER SECURITIES CORPORATION | Self | 10/03/2024 | ||
| 2024 | Q2 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 309574 | MONDEUM CAPITAL | Self | 10/03/2024 | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | Self | 10/02/2024 | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | Self | 10/02/2024 | XML | |
| 2024 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | Self | 10/01/2024 | ||
| 2024 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | Self | 10/01/2024 | XML | |
| 2024 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | Self | 09/30/2024 | ||
| 2024 | Q2 | 26193 | ALAMO CAPITAL | Self | 09/25/2024 | ||
| 2024 | Q2 | 159481 | FENIX SECURITIES, LLC | Self | 09/25/2024 | XML | |
| 2024 | Q2 | 159481 | FENIX SECURITIES, LLC | Self | 09/25/2024 | ||
| 2024 | Q2 | 28684 | GBM INTERNATIONAL, INC. | Self | 09/24/2024 | XML | |
| 2024 | Q2 | 172393 | AXOS INVEST LLC | Self | 09/24/2024 | XML | |
| 2024 | Q2 | 132078 | COBRA TRADING, INC. | Self | 09/24/2024 | ||
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | Self | 09/24/2024 | ||
| 2024 | Q2 | 132078 | COBRA TRADING, INC. | Self | 09/24/2024 | XML | |
| 2024 | Q2 | 6888 | JONESTRADING | Self | 09/20/2024 | XML | |
| 2024 | Q2 | 6888 | JONESTRADING | Self | 09/20/2024 | ||
| 2024 | Q2 | 154431 | T3 TRADING GROUP, LLC | Self | 09/19/2024 | ||
| 2024 | Q2 | 35371 | OSAIC INSTITUTIONS, INC. | Self | 09/18/2024 | XML | |
| 2024 | Q2 | 35371 | OSAIC INSTITUTIONS, INC. | Self | 09/18/2024 | ||
| 2024 | Q2 | 309708 | PENNHAVEN BROKERAGE PARTNERS, LLC | Self | 09/16/2024 | ||
| 2024 | Q2 | 309708 | PENNHAVEN BROKERAGE PARTNERS, LLC | Self | 09/16/2024 | XML | |
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | Self | 09/13/2024 | EQUITIES | |
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | Self | 09/13/2024 | OPTIONS | |
| 2024 | Q2 | 519 | LINCOLN INVESTMENT | Self | 09/13/2024 | XML | |
| 2024 | Q2 | 519 | LINCOLN INVESTMENT | Self | 09/13/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | Self | 09/11/2024 | ||
| 2024 | Q2 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 09/11/2024 | XML | |
| 2024 | Q2 | 282940 | TRADEZERO AMERICA, INC. | Self | 09/11/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | Self | 09/11/2024 | XML | |
| 2024 | Q2 | 127818 | OPEN TO THE PUBLIC INVESTING, INC. | Self | 09/11/2024 | ||
| 2024 | Q2 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 09/11/2024 | ||
| 2024 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 09/10/2024 | ||
| 2024 | Q2 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | Self | 09/10/2024 | XML | |
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC | Self | 09/10/2024 | ||
| 2024 | Q2 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | Self | 09/10/2024 | ||
| 2024 | Q2 | 15650 | BOLTON GLOBAL CAPITAL | Self | 09/09/2024 | XML | |
| 2024 | Q2 | 17776 | ZIONS DIRECT, INC. | Self | 09/09/2024 | RETAIL | |
| 2024 | Q2 | 165828 | LION STREET FINANCIAL, LLC | Self | 09/06/2024 | ||
| 2024 | Q2 | 42803 | VALIC FINANCIAL ADVISORS, INC. | Self | 09/06/2024 | INFO | |
| 2024 | Q2 | 127787 | SORRENTO PACIFIC FINANCIAL, LLC | Self | 09/06/2024 | ||
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/06/2024 | GRWD | |
| 2024 | Q2 | 148743 | SPIDERROCK EXS, LLC | Self | 09/06/2024 | XML | |
| 2024 | Q2 | 7691 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Self | 09/06/2024 | ||
| 2024 | Q2 | 10674 | NEWEDGE SECURITIES, INC. | Self | 09/06/2024 | ||
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. | Self | 09/06/2024 | ||
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/06/2024 | XML | GRWD |
| 2024 | Q2 | 165828 | LION STREET FINANCIAL, LLC | Self | 09/06/2024 | XML | |
| 2024 | Q2 | 7691 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Self | 09/06/2024 | XML | |
| 2024 | Q2 | 42132 | CUSO FINANCIAL SERVICES, L.P. | Self | 09/06/2024 | ||
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. | Self | 09/06/2024 | XML | |
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/05/2024 | GARW | |
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. | Self | 09/05/2024 | ||
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 505 | LADENBURG THALMANN & CO. INC. | Self | 09/05/2024 | XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/05/2024 | XML | GARW |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |