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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2024 | Q3 | 1252 | WILLIAM BLAIR | No | NA | PDF|XML | |
| 2024 | Q3 | 894 | WILLIAM O'NEIL SECURITIES | No | NA | PDF|XML | |
| 2024 | Q3 | 43678 | WILLIAMS TRADING LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | PDF|XML | |
| 2024 | Q3 | 3777 | WILSON-DAVIS & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 875 | WINTRUST INVESTMENTS LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 120719 | WOLVERINE EXECUTION SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 20626 | WORLD INVESTMENTS, INC. | No | NA | ||
| 2024 | Q3 | 145589 | XML SECURITIES | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 17776 | ZIONS DIRECT, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q2 | 3767 | &PARTNERS | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 3767 | &PARTNERS | No | NA | PDF|XML | NFS |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | No | NA | PDF|XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | No | NA | PDF|XML | MPID1 |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | No | NA | PDF|XML | MPID2 |
| 2024 | Q2 | 26193 | ALAMO CAPITAL | No | NA | ||
| 2024 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 286504 | ALLARIA SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 29678 | AMERICAN HERITAGE SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML |