For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
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 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 158599 | BOREAL CAPITAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18466 | CNR SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 146667 | INTERCAM SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 149758 | J.V.B. FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 282756 | FIRST SOUTHERN, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 35800 | PHILLIPS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 286504 | ALLARIA SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 37059 | VICTORY CAPITAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 14458 | INVESTMENT PLACEMENT GROUP - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 103857 | USA FINANCIAL SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 14752 | CAPITAL INVESTMENT GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 6564 | SF INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 15041 | FIRST BANKERS' BANC SECURITIES, INC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7616 | COWEN AND COMPANY | Self | 07/26/2024 | ||
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 6564 | SF INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7612 | R.M. STARK & CO., INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 19899 | SECU BROKERAGE SERVICES - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 168047 | BCI SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 35800 | PHILLIPS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 70 | BCG SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 168047 | BCI SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 |