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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 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 665 | PIPER SANDLER & CO. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 13071 | APEX CLEARING CORPORATION | Self | 10/30/2024 | ||
| 2024 | Q3 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 26193 | ALAMO CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 41791 | SANTANDER SECURITIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 42180 | SUNBELT SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 40744 | S.L. REED & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 124583 | J.W. COLE FINANCIAL, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 42180 | SUNBELT SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 284714 | ANOS CAPITAL, LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 147853 | WALLACHBETH CAPITAL LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 47275 | SCF SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 11826 | LIME TRADING CORP | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 104233 | FLAGSTAR ADVISORS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 155578 | LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | Self | 10/30/2024 | ||
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 103792 | EF HUTTON LLC | Self | 10/30/2024 | AXOS | |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8246 | OPAL SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 28684 | GBM INTERNATIONAL, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 139515 | MCAP LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 17117 | FIRST HORIZON ADVISORS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 13041 | NATIONAL FINANCIAL SERVICES LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 148493 | ODEON CAPITAL GROUP LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 104021 | CHOICETRADE | Self | 10/30/2024 | ||
| 2024 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 29163 | COKER & PALMER - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 6914 | VAN CLEMENS & CO. INCORPORATED - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 107403 | SPEEDTRADER, INC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 38105 | FMN CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 5376 | MURIEL SIEBERT & CO., LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 151717 | SOFI SECURITIES LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 149777 | MORGAN STANLEY | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY |