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 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | No | NA | PDF|XML | PERSHING |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | PDF|XML | |
| 2024 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 8365 | AMUNI FINANCIAL, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 29931 | ANDREW GARRETT INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | No | NA | PDF|XML | |
| 2024 | Q2 | 318437 | ARENS SECURITIES | YES - Disclosure | VELOCITY CLEARING, LLC | PDF|XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | No | NA | PDF|XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC | YES - Disclosure | VELOCITY CLEARING, LLC | PDF|XML | |
| 2024 | Q2 | 117176 | AXOS CLEARING LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 172393 | AXOS INVEST LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | No | NA | PDF|XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 29280 | BANKOH INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | No | NA | PDF|XML | LEHM |
| 2024 | Q2 | 1175 | BARRETT & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 70 | BCG SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 70 | BCG SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 168047 | BCI SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 159940 | BENCHMARK SECURITIES LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | No | NA | PDF|XML |