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 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 27954 | LOMBARD SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 128089 | CARY STREET PARTNERS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 28116 | CHAPIN, DAVIS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | ||
| 2024 | Q2 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 39062 | UNITED BROKERAGE SERVICES, INC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 30568 | REGISTER FINANCIAL ASSOCIATES, 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 | ||
| 2024 | Q2 | 877 | WEDBUSH SECURITIES INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/23/2024 | XML | MRSC1 |
| 2024 | Q2 | 44971 | HERNDON PLANT OAKLEY, LTD. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 139665 | BHK SECURITIES, LLC - 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 | XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 145589 | XML SECURITIES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 7353 | G.RESEARCH, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 11025 | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3254 | SAGE, RUTTY & CO., INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 126588 | VELOCITY CLEARING, LLC | Self | 07/23/2024 | ||
| 2024 | Q2 | 19610 | RHODES SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 19610 | RHODES SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 125334 | CASTLEOAK SECURITIES, LP | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | ||
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - 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 | XML | |
| 2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 42578 | LIEBLONG & ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 24549 | FIRST DALLAS SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 25899 | CRESAP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 6564 | SF INVESTMENTS, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 46350 | TRADE-PMR INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 27954 | LOMBARD SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 877 | WEDBUSH SECURITIES INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 | ||
| 2024 | Q2 | 29678 | AMERICAN HERITAGE SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 29678 | AMERICAN HERITAGE SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | ||
| 2024 | Q2 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 42578 | LIEBLONG & ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 875 | WINTRUST INVESTMENTS LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 46350 | TRADE-PMR INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 875 | WINTRUST INVESTMENTS LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3215 | ROMANO BROTHERS AND COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 3618 | TRUBEE WEALTH ADVISORS, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3215 | ROMANO BROTHERS AND COMPANY - 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 | ||
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 14762 | COORDINATED CAPITAL SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 14762 | COORDINATED CAPITAL SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 8478 | THURSTON SPRINGER FINANCIAL - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 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 | 139627 | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | XML | NFSC |
| 2024 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 07/22/2024 | ||
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | XML | SPGLOBAL |
| 2024 | Q2 | 2764 | MESIROW FINANCIAL, INC. | Self | 07/22/2024 | PERSHING | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 129052 | PNC INVESTMENTS | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | XML | PERS |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | NFSC | |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | PERSHING | |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | XML | PERSHING |
| 2024 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 07/22/2024 | ||
| 2024 | Q2 | 2764 | MESIROW FINANCIAL, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 140564 | REDBURN ATLANTIC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 301273 | IMC EXECUTION SERVICES | Self | 07/22/2024 | ||
| 2024 | Q2 | 301273 | IMC EXECUTION SERVICES | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | PERS |