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 | 2543 | B. RILEY WEALTH MANAGEMENT - 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 | ||
| 2024 | Q2 | 126588 | VELOCITY CLEARING, LLC | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 11025 | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 19537 | FIRST WESTERN SECURITIES, 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 | XML | |
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | ||
| 2024 | Q2 | 38770 | D.M. KELLY & COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | Self | 07/23/2024 | ||
| 2024 | Q2 | 24549 | FIRST DALLAS SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 7353 | G.RESEARCH, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 125334 | CASTLEOAK SECURITIES, LP | Self | 07/23/2024 | XML | |
| 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 | 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 | |
| 2024 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | SPGLOBAL | |
| 2024 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 07/22/2024 | ||
| 2024 | Q2 | 129052 | PNC INVESTMENTS | Self | 07/22/2024 | ||
| 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 | 36418 | INTERACTIVE BROKERS LLC | Self | 07/19/2024 | ||
| 2024 | Q2 | 566 | KEYBANC CAPITAL MARKETS INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 | ||
| 2024 | Q2 | 17776 | ZIONS DIRECT, INC. - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 313305 | GREEN PIER FINTECH LLC | Self | 07/19/2024 | ||
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 290298 | FORTRESS PRIVATE LEDGER, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 313305 | GREEN PIER FINTECH LLC | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 140341 | ELEVATION, LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 07/18/2024 | ||
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 07/18/2024 | ||
| 2024 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 07/18/2024 | ||
| 2024 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 120708 | MAXIM GROUP LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 140341 | ELEVATION, LLC | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 41791 | SANTANDER SECURITIES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | ||
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 2936 | THE O.N. EQUITY SALES COMPANY | Self | 07/17/2024 | ||
| 2024 | Q2 | 6183 | C. L. KING & ASSOCIATES, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | XML |