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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 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 15650 | BOLTON GLOBAL CAPITAL | Self | 09/04/2024 | ||
| 2024 | Q2 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | Self | 09/04/2024 | ||
| 2024 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 09/04/2024 | ||
| 2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 08/30/2024 | XML | |
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 08/30/2024 | ||
| 2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 08/30/2024 | ||
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 08/30/2024 | XML | |
| 2024 | Q2 | 154327 | MSEC, LLC | Self | 08/27/2024 | XML | |
| 2024 | Q2 | 154327 | MSEC, LLC | Self | 08/26/2024 | ||
| 2024 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 08/22/2024 | XML | |
| 2024 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 08/22/2024 | ||
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | ||
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | ||
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | ||
| 2024 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | ||
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. | Self | 08/14/2024 | ||
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | Self | 08/12/2024 | ||
| 2024 | Q2 | 1252 | WILLIAM BLAIR | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 32889 | PRIME EXECUTIONS, INC. | Self | 08/12/2024 | ||
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 32889 | PRIME EXECUTIONS, INC. | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | ||
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | XML | |
| 2024 | Q2 | 134 | CANTOR FITZGERALD & CO. | Self | 08/08/2024 | XML | |
| 2024 | Q2 | 134 | CANTOR FITZGERALD & CO. | Self | 08/08/2024 | ||
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | Self | 08/07/2024 | XML | LEHM |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | PERSHING | |
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | Self | 08/07/2024 | LEHM | |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | XML | PERSHING |
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | Self | 08/06/2024 | ||
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | Self | 08/06/2024 | XML | |
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 08/05/2024 | ||
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | Self | 08/05/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 08/05/2024 | XML | |
| 2024 | Q2 | 107403 | SPEEDTRADER, INC | Self | 08/02/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID2 | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | EDFP | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CNFR | |
| 2024 | Q2 | 120708 | MAXIM GROUP LLC | Self | 08/02/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID2 |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | EDFC | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPNT | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID1 | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID1 |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CCMB | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPTP | |
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 107403 | SPEEDTRADER, INC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 38751 | LEIGH BALDWIN & CO., LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | ||
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 283701 | MARKET SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 |