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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 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/30/2024 | XML | MRSC |
| 2024 | Q2 | 114993 | CRESCENT SECURITIES GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 145994 | PENSERRA SECURITIES, LLC | Self | 07/30/2024 | XML | PNSR |
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 159940 | BENCHMARK SECURITIES LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 8246 | OPAL SECURITIES, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 07/30/2024 | XML | SBSH |
| 2024 | Q2 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 6220 | HILLTOP SECURITIES INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 45993 | STONEX FINANCIAL INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 38373 | FORTE SECURITIES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | CGWM | |
| 2024 | Q2 | 2347 | JEFFERIES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 36538 | CELADON FINANCIAL GROUP LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 07/30/2024 | ||
| 2024 | Q2 | 17912 | SOGOTRADE, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 17117 | FIRST HORIZON ADVISORS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 3870 | OSAIC FS, INC. | Self | 07/30/2024 | XML | NFS |
| 2024 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 07/30/2024 | ||
| 2024 | Q2 | 7784 | FIDELITY BROKERAGE SERVICES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 122225 | BTIG, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 25803 | TRIAD ADVISORS LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 132091 | FNBB CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 47770 | CHELSEA FINANCIAL SERVICES - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 132091 | FNBB CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 17117 | FIRST HORIZON ADVISORS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 133760 | CAMBRIA CAPITAL, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 2903 | MARTIN NELSON & CO., INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 120719 | WOLVERINE EXECUTION SERVICES, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 305818 | FINTRON INVEST | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 115547 | SAXONY SECURITIES, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 38455 | MATRIX EXECUTIONS, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 139107 | FIRST ASSET FINANCIAL INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 14143 | SYCAMORE FINANCIAL GROUP - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 10641 | CADARET, GRANT & CO., INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 6220 | HILLTOP SECURITIES INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | WOLVERINE EXECUTION SERVICES, LLC | 07/30/2024 | ||
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | XML | SPGLOBAL |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 47275 | SCF SECURITIES, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 289063 | WEBULL FINANCIAL LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 114993 | CRESCENT SECURITIES GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 1175 | BARRETT & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 285852 | STATE STREET GLOBAL MARKETS, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 149823 | VIRTU AMERICAS LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 145994 | PENSERRA SECURITIES, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 22373 | NAVIGATOR SECURITIES LIMITED - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 282480 | BULL MARKET SECURITIES, INC. | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 103705 | CITY NATIONAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 1175 | BARRETT & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 17839 | THE INVESTMENT CENTER, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 07/30/2024 | SBSH | |
| 2024 | Q2 | 145994 | PENSERRA SECURITIES, LLC | Self | 07/30/2024 | PNSR | |
| 2024 | Q2 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 5407 | VBC SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML |