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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 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 70 | BCG SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 158599 | BOREAL CAPITAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 286504 | ALLARIA SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | ||
| 2024 | Q2 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 1252 | WILLIAM BLAIR | Self | 07/25/2024 | ||
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 07/25/2024 | ||
| 2024 | Q2 | 3496 | STEPHENS | Self | 07/25/2024 | ||
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 07/25/2024 | ||
| 2024 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 594 | MOORS & CABOT, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | ||
| 2024 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | XML | |
| 2024 | Q2 | 3496 | STEPHENS | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 07/25/2024 | ||
| 2024 | Q2 | 594 | MOORS & CABOT, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | PERS | |
| 2024 | Q2 | 120116 | THEMIS TRADING LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 1742 | KENSINGTON CAPITAL CORP. | Self | 07/24/2024 | ||
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | XML | |
| 2024 | Q2 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | NFSC | |
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | XML | PERS |
| 2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | INFO | |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 39914 | WESTPARK CAPITAL, INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 07/24/2024 | ||
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | XML | NFSC |
| 2024 | Q2 | 120116 | THEMIS TRADING LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | XML | INFO |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | Self | 07/24/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 39914 | WESTPARK CAPITAL, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 11363 | TRIAD SECURITIES CORP | Self | 07/24/2024 | ||
| 2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | ||
| 2024 | Q2 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 3618 | TRUBEE WEALTH ADVISORS, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 125334 | CASTLEOAK SECURITIES, LP | Self | 07/23/2024 | ||
| 2024 | Q2 | 39062 | UNITED BROKERAGE SERVICES, INC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 7456 | HUNTLEIGH SECURITIES CORPORATION - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 44971 | HERNDON PLANT OAKLEY, LTD. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 25899 | CRESAP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 07/23/2024 | ||
| 2024 | Q2 | 28116 | CHAPIN, DAVIS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 8478 | THURSTON SPRINGER FINANCIAL - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | ||
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 38770 | D.M. KELLY & COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 139665 | BHK SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | ||
| 2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/23/2024 | MRSC1 | |
| 2024 | Q2 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 128089 | CARY STREET PARTNERS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 145589 | XML SECURITIES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 3254 | SAGE, RUTTY & CO., INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 126588 | VELOCITY CLEARING, LLC | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML |