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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 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., 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 | ||
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 14178 | REVERE SECURITIES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 21821 | CATHAY SECURITIES, INC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK | Self | 08/01/2024 | ||
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 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 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | XML | STONEX1 |
| 2024 | Q2 | 19456 | ROBERTS & RYAN, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 5397 | DAVID LERNER ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 19647 | MIZUHO SECURITIES USA LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | ||
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 7654 | UBS SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | PERSHING | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | ||
| 2024 | Q2 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | XML | MPID1 |
| 2024 | Q2 | 249 | OPPENHEIMER & CO. INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | ADAM |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 25427 | CFD INVESTMENTS, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | ||
| 2024 | Q2 | 139515 | MCAP LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | Self | 07/31/2024 |