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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 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 38455 | MATRIX EXECUTIONS, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 281867 | OLD MISSION MARKETS LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 3013 | COLONIAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 5407 | VBC SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q2 | 32754 | MARK J. MULLER EQUITIES, INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 6413 | LPL FINANCIAL LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 134284 | RQD* CLEARING, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 16686 | BMO CAPITAL MARKETS CORP. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 8089 | TZ CLEAR LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 630 | CIBC WORLD MARKETS CORP. | Self | 10/31/2024 | ||
| 2024 | Q3 | 46047 | HANTZ FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6506 | KUYKENDALL & SCHNEIDER, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 79 | J.P. MORGAN SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 21687 | WATERFORD CAPITAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 13854 | SELKIRK INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/31/2024 | CHBC | |
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | Self | 10/31/2024 | CSTI | |
| 2024 | Q3 | 361 | GOLDMAN SACHS & CO. LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 10/31/2024 | ||
| 2024 | Q3 | 114993 | CRESCENT SECURITIES GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 14627 | FIRST SECURITIES NORTHWEST, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/31/2024 | XML | PNSR |
| 2024 | Q3 | 14178 | REVERE SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 282940 | TRADEZERO AMERICA, INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 42057 | ARVEST WEALTH MANAGEMENT | Self | 10/31/2024 | ||
| 2024 | Q3 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 25706 | LIBERTY CAPITAL INVESTMENT CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 32754 | MARK J. MULLER EQUITIES, INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 36500 | PICTET OVERSEAS INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 103789 | USCA SECURITIES LLC | Self | 10/31/2024 | MPID2 | |
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | ||
| 2024 | Q3 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 47770 | CHELSEA FINANCIAL SERVICES - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 36379 | LENOX FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 16843 | FIRSTRADE SECURITIES INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 282480 | BULL MARKET SECURITIES, INC. | STONEX FINANCIAL INC. | 10/31/2024 | ||
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 120343 | INTEGRAL FINANCIAL LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 142783 | MURRAY SECURITIES, INC. | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 36379 | LENOX FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 10/31/2024 | XML | SBSH |
| 2024 | Q3 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 10/31/2024 | ||
| 2024 | Q2 | 36500 | PICTET OVERSEAS INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | Self | 10/31/2024 | XML | STONEX1 |
| 2024 | Q3 | 139107 | FIRST ASSET FINANCIAL INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 37711 | STOCK TRADERS - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 10/31/2024 | CGWM | |
| 2024 | Q3 | 3777 | WILSON-DAVIS & CO., INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 155291 | CENTRAL STATES CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 159940 | BENCHMARK SECURITIES LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 37711 | STOCK TRADERS - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 39944 | BAY CREST PARTNERS, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 7897 | INSTINET, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 173643 | UCAP AMERICAS - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 2903 | MARTIN NELSON & CO., INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 2903 | MARTIN NELSON & CO., INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 149823 | VIRTU AMERICAS LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 316281 | FENNEL | Self | 10/31/2024 | ||
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 281867 | OLD MISSION MARKETS LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 15916 | SIGNAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6220 | HILLTOP SECURITIES INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 10/31/2024 | ||
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 42847 | POLAR INVESTMENT COUNSEL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6220 | HILLTOP SECURITIES INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 306255 | PRISM FINANCIAL PRODUCTS LP | Self | 10/31/2024 | XML |