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 | 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 | |
| 2024 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 41791 | SANTANDER SECURITIES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | 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 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 6271 | TRUIST SECURITIES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 146193 | MIURA CAPITAL, LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 47873 | SAFRA SECURITIES LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 199 | D.A. DAVIDSON & CO. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 37818 | MISCHLER FINANCIAL GROUP, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 47873 | SAFRA SECURITIES LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 199 | D.A. DAVIDSON & CO. | Self | 07/16/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 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 | 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 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | Self | 07/13/2024 | ||
| 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 |