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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 | 46987 | VIEWTRADE SECURITIES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 38105 | FMN CAPITAL CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 16843 | FIRSTRADE SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | PERSHING | |
| 2024 | Q2 | 46300 | TJM INVESTMENTS, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | EFGBANK | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID2 | |
| 2024 | Q2 | 249 | OPPENHEIMER & CO. INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 29931 | ANDREW GARRETT INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 114203 | GREAT POINT CAPITAL LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 134284 | RQD* CLEARING, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 156691 | XP INVESTMENTS US, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 316281 | FENNEL | Self | 07/31/2024 | ||
| 2024 | Q2 | 133763 | OSAIC SERVICES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 281867 | OLD MISSION MARKETS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | ||
| 2024 | Q2 | 43678 | WILLIAMS TRADING LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | STONEX1 | |
| 2024 | Q2 | 149486 | BTG PACTUAL US CAPITAL, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 42405 | EVERCORE GROUP L.L.C. | Self | 07/31/2024 | ||
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 205 | SANCTUARY SECURITIES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 133715 | SWBC INVESTMENT SERVICES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 07/31/2024 | ||
| 2024 | Q2 | 151717 | SOFI SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 25425 | HOVDE GROUP, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 7654 | UBS SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | CSTI |
| 2024 | Q2 | 46987 | VIEWTRADE SECURITIES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 7353 | G.RESEARCH, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 16843 | FIRSTRADE SECURITIES INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | XML | PERSHING |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 46300 | TJM INVESTMENTS, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID1 | |
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | ADAM | |
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 25427 | CFD INVESTMENTS, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 139515 | MCAP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 14178 | REVERE SECURITIES LLC | Self | 07/31/2024 |