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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 | 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 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 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 | 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 | 10409 | MML INVESTORS SERVICES, LLC | Self | 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 | 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 | 286504 | ALLARIA 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 | 103857 | USA FINANCIAL SECURITIES CORPORATION - 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 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 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 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 07/25/2024 | XML | |
| 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 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 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 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 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 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 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 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 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 | 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 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | Self | 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 | 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 | 20996 | THINKEQUITY 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 | ||
| 2024 | Q2 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 07/24/2024 | XML | |
| 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 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | XML | |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | ||
| 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 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, 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 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | 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 | 6564 | SF INVESTMENTS, INC. | Self | 07/23/2024 | ||
| 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 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 |