Skip to main content

NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

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

Date Submitted
Displaying 2301 - 2400 of 2997 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q2 120343 INTEGRAL FINANCIAL LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 25706 LIBERTY CAPITAL INVESTMENT CORPORATION - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 25706 LIBERTY CAPITAL INVESTMENT CORPORATION - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 14143 SYCAMORE FINANCIAL GROUP - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 282480 BULL MARKET SECURITIES, INC. STONEX FINANCIAL INC. 07/30/2024 PDF
2024 Q2 104233 FLAGSTAR ADVISORS - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 283701 MARKET SECURITIES, LLC Self 07/30/2024 PDF
2024 Q2 7059 CITIGROUP GLOBAL MARKETS INC. Self 07/30/2024 PDF CGWM
2024 Q2 120343 INTEGRAL FINANCIAL LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 2347 JEFFERIES LLC Self 07/30/2024 PDF
2024 Q2 173847 OLDEN LANE SECURITIES, LLC - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 6506 KUYKENDALL & SCHNEIDER, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 103705 CITY NATIONAL SECURITIES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 10409 MML INVESTORS SERVICES, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 13041 NATIONAL FINANCIAL SERVICES LLC Self 07/30/2024 PDF
2024 Q2 3978 OSAIC FA, INC. Self 07/30/2024 XML NFS
2024 Q2 10690 SEI INVESTMENTS DISTRIBUTION CO. - Disclosure CITIGROUP GLOBAL MARKETS INC. 07/30/2024 XML CGWM
2024 Q2 19524 JOHNSON RICE & COMPANY L.L.C. Self 07/30/2024 PDF
2024 Q2 127473 KCD FINANCIAL, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 36379 LENOX FINANCIAL SERVICES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 28218 STIFEL INDEPENDENT ADVISORS, LLC - Disclosure STIFEL, NICOLAUS & COMPANY, INCORPORATED 07/30/2024 PDF
2024 Q2 129052 PNC INVESTMENTS - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 155578 LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 16187 CARNES CAPITAL CORPORATION - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 3870 OSAIC FS, INC. Self 07/30/2024 PDF NFS
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/30/2024 XML EDFC
2024 Q2 7353 G.RESEARCH, LLC Self 07/30/2024 XML
2024 Q2 7388 AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 282710 ARKADIOS CAPITAL - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 13109 EMPOWER FINANCIAL SERVICES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 143221 CICC US SECURITIES, INC. - Disclosure BTIG, LLC 07/30/2024 PDF
2024 Q2 25803 TRIAD ADVISORS LLC Self 07/30/2024 PDF
2024 Q2 7784 FIDELITY BROKERAGE SERVICES LLC Self 07/30/2024 PDF
2024 Q2 20999 CALTON & ASSOCIATES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 300262 ALPHALEDGER MARKETS, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 37711 STOCK TRADERS - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 21544 MIDDLEGATE SECURITIES INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 XML
2024 Q2 20999 CALTON & ASSOCIATES, INC. - Disclosure NATIONAL FINANCIAL SERVICES LLC 07/30/2024 PDF
2024 Q2 136131 ALLY INVEST SECURITIES LLC Self 07/30/2024 XML
2024 Q2 288933 CLEAR STREET LLC Self 07/30/2024 XML
2024 Q2 149777 MORGAN STANLEY Self 07/30/2024 PDF
2024 Q2 15916 SIGNAL SECURITIES, INC. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 PDF
2024 Q2 13037 INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure HILLTOP SECURITIES INC. 07/30/2024 XML
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/29/2024 XML NPNT
2024 Q2 277027 TASTYTRADE, INC. Self 07/29/2024 PDF
2024 Q2 41257 DASH PRIME LLC - Disclosure DASH FINANCIAL TECHNOLOGIES LLC 07/29/2024 XML
2024 Q2 36671 PERSHING ADVISOR SOLUTIONS LLC Self 07/29/2024 XML
2024 Q2 628 FIFTH THIRD SECURITIES, INC. Self 07/29/2024 XML
2024 Q2 139148 KEPLER CAPITAL MARKETS, INC. Self 07/29/2024 XML
2024 Q2 17358 M&T SECURITIES, INC. Self 07/29/2024 PDF
2024 Q2 23131 OSAIC WEALTH, INC. Self 07/29/2024 XML
2024 Q2 30773 STONEX OUTSOURCED SERVICES LLC - Disclosure BOFA SECURITIES, INC. 07/29/2024 XML
2024 Q2 150892 WATERMILL INSTITUTIONAL TRADING LLC Self 07/29/2024 PDF
2024 Q2 283942 BOFA SECURITIES, INC. Self 07/29/2024 XML
2024 Q2 894 WILLIAM O'NEIL SECURITIES Self 07/29/2024 PDF
2024 Q2 16986 THE HUNTINGTON INVESTMENT COMPANY Self 07/29/2024 XML
2024 Q2 10690 SEI INVESTMENTS DISTRIBUTION CO. - Disclosure BOFA SECURITIES, INC. 07/29/2024 PDF
2024 Q2 154717 TIGRESS FINANCIAL PARTNERS, LLC Self 07/29/2024 PDF
2024 Q2 39473 TRADESTATION SECURITIES, INC. Self 07/29/2024 XML
2024 Q2 283942 BOFA SECURITIES, INC. Self 07/29/2024 PDF
2024 Q2 19418 INTESA SANPAOLO IMI SECURITIES CORP. Self 07/29/2024 PDF
2024 Q2 43706 LAMPOST CAPITAL, L.C. Self 07/29/2024 XML
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/29/2024 XML NPTP
2024 Q2 13109 EMPOWER FINANCIAL SERVICES, INC. Self 07/29/2024 PDF PERSHING7560GWFS
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/29/2024 XML CNFR
2024 Q2 277027 TASTYTRADE, INC. Self 07/29/2024 XML
2024 Q2 104031 DASH FINANCIAL TECHNOLOGIES LLC Self 07/29/2024 XML
2024 Q2 36671 PERSHING ADVISOR SOLUTIONS LLC Self 07/29/2024 PDF
2024 Q2 628 FIFTH THIRD SECURITIES, INC. Self 07/29/2024 PDF
2024 Q2 41257 DASH PRIME LLC - Disclosure DASH FINANCIAL TECHNOLOGIES LLC 07/29/2024 PDF
2024 Q2 164484 TD PRIVATE CLIENT WEALTH LLC Self 07/29/2024 PDF
2024 Q2 128605 TRADINGBLOCK - Disclosure DASH FINANCIAL TECHNOLOGIES LLC 07/29/2024 PDF
2024 Q2 665 PIPER SANDLER & CO. Self 07/29/2024 PDF
2024 Q2 6939 INVESCO CAPITAL MARKETS, INC. - Disclosure BOFA SECURITIES, INC. 07/29/2024 XML
2024 Q2 23131 OSAIC WEALTH, INC. Self 07/29/2024 PDF
2024 Q2 41257 DASH PRIME LLC - Disclosure BOFA SECURITIES, INC. 07/29/2024 XML
2024 Q2 150892 WATERMILL INSTITUTIONAL TRADING LLC Self 07/29/2024 XML
2024 Q2 894 WILLIAM O'NEIL SECURITIES Self 07/29/2024 XML
2024 Q2 2739 SCOTIA CAPITAL (USA) INC. Self 07/29/2024 PDF
2024 Q2 41257 DASH PRIME LLC - Disclosure BOFA SECURITIES, INC. 07/29/2024 PDF
2024 Q2 3767 &PARTNERS Self 07/29/2024 PDF NFS
2024 Q2 39473 TRADESTATION SECURITIES, INC. Self 07/29/2024 PDF
2024 Q2 16686 BMO CAPITAL MARKETS CORP. Self 07/29/2024 PDF
2024 Q2 13109 EMPOWER FINANCIAL SERVICES, INC. Self 07/29/2024 PDF NFS13041MPWR
2024 Q2 6627 EQUITABLE ADVISORS, LLC Self 07/29/2024 PDF
2024 Q2 13109 EMPOWER FINANCIAL SERVICES, INC. Self 07/29/2024 XML PERSHING7560GWFS
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/29/2024 XML CCMB
2024 Q2 30882 CLARKSONS SECURITIES, INC Self 07/29/2024 XML
2024 Q2 128605 TRADINGBLOCK - Disclosure DASH FINANCIAL TECHNOLOGIES LLC 07/29/2024 XML
2024 Q2 161014 MAREX CAPITAL MARKETS INC. Self 07/29/2024 XML MPSG
2024 Q2 139148 KEPLER CAPITAL MARKETS, INC. Self 07/29/2024 PDF
2024 Q2 104031 DASH FINANCIAL TECHNOLOGIES LLC Self 07/29/2024 PDF
2024 Q2 164484 TD PRIVATE CLIENT WEALTH LLC Self 07/29/2024 XML
2024 Q2 17358 M&T SECURITIES, INC. Self 07/29/2024 XML
2024 Q2 10690 SEI INVESTMENTS DISTRIBUTION CO. - Disclosure BOFA SECURITIES, INC. 07/29/2024 XML
2024 Q2 665 PIPER SANDLER & CO. Self 07/29/2024 XML
2024 Q2 46749 GEORGESON SECURITIES CORPORATION - Disclosure BOFA SECURITIES, INC. 07/29/2024 XML
2024 Q2 16986 THE HUNTINGTON INVESTMENT COMPANY Self 07/29/2024 PDF
2024 Q2 6939 INVESCO CAPITAL MARKETS, INC. - Disclosure BOFA SECURITIES, INC. 07/29/2024 PDF