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 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | Self | 07/15/2024 | ||
| 2024 | Q2 | 5167 | NYLIFE SECURITIES LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | Self | 07/15/2024 | XML | NFS |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | Self | 07/15/2024 | ||
| 2024 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 6271 | TRUIST SECURITIES, INC. | Self | 07/15/2024 | ||
| 2024 | Q2 | 38964 | CREAND SECURITIES | Self | 07/15/2024 | ||
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | Self | 07/15/2024 | ||
| 2024 | Q2 | 5167 | NYLIFE SECURITIES LLC | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 07/15/2024 | ||
| 2024 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 38964 | CREAND SECURITIES | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | Self | 07/15/2024 | NFS | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | Self | 07/15/2024 | ||
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | Self | 07/13/2024 | ||
| 2024 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | Self | 07/12/2024 | ||
| 2024 | Q2 | 115368 | PARKLAND SECURITIES, LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 120583 | US TIGER SECURITIES, INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 70 | BCG SECURITIES, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 120583 | US TIGER SECURITIES, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 8096 | POPULAR SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 07/12/2024 | ||
| 2024 | Q2 | 115368 | PARKLAND SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP | Self | 07/12/2024 | ||
| 2024 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 8096 | POPULAR SECURITIES, LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 70 | BCG SECURITIES, INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 37818 | MISCHLER FINANCIAL GROUP, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 07/11/2024 | ||
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 07/10/2024 | XML | |
| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 07/10/2024 | ||
| 2024 | Q2 | 165533 | CLSA AMERICAS, LLC | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | Self | 07/09/2024 | ||
| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 8330 | SEAPORT SECURITIES CORP. | Self | 07/09/2024 | ||
| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 8330 | SEAPORT SECURITIES CORP. | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | Self | 07/09/2024 | ||
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 07/08/2024 | ||
| 2024 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 07/08/2024 | ||
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 165533 | CLSA AMERICAS, LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 07/08/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. | Self | 07/03/2024 | ||
| 2024 | Q2 | 309574 | MONDEUM CAPITAL | Self | 07/02/2024 | ||
| 2024 | Q2 | 309574 | MONDEUM CAPITAL | Self | 07/02/2024 | XML |