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 | 15041 | FIRST BANKERS' BANC SECURITIES, INC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 6564 | SF INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7612 | R.M. STARK & CO., INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 19899 | SECU BROKERAGE SERVICES - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 168047 | BCI SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 35800 | PHILLIPS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 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 | 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 | 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 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | INFO | |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 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 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | XML | NFSC |
| 2024 | Q2 | 120116 | THEMIS TRADING LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | XML | |
| 2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | XML | INFO |
| 2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | ||
| 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 | 1742 | KENSINGTON CAPITAL CORP. | Self | 07/24/2024 | ||
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | Self | 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 | 126588 | VELOCITY CLEARING, LLC | Self | 07/23/2024 |