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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 39062 | UNITED BROKERAGE SERVICES, INC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | No | NA | PDF|XML | |
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2024 | Q2 | 120583 | US TIGER SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 103857 | USA FINANCIAL SECURITIES CORPORATION | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | No | NA | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | No | NA | PDF|XML | MPID1 |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | No | NA | MPID2 | |
| 2024 | Q2 | 42803 | VALIC FINANCIAL ADVISORS, INC. | No | NA | INFO | |
| 2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | No | NA | PDF|XML | |
| 2024 | Q2 | 5407 | VBC SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 32396 | VECTORGLOBAL WMG | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 126588 | VELOCITY CLEARING, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 290215 | VELOX CLEARING LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 315194 | VF SECURITIES | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2024 | Q2 | 37059 | VICTORY CAPITAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 46987 | VIEWTRADE SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 149823 | VIRTU AMERICAS LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 2882 | VOYA FINANCIAL ADVISORS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | No | NA | PDF|XML | |
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q2 | 21687 | WATERFORD CAPITAL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 153407 | WEALTHFRONT BROKERAGE LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 289063 | WEBULL FINANCIAL LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 877 | WEDBUSH SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 11025 | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 39262 | WESTERN INTERNATIONAL SECURITIES, INC. | No | NA | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 39914 | WESTPARK CAPITAL, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 1252 | WILLIAM BLAIR | No | NA | PDF|XML | |
| 2024 | Q2 | 894 | WILLIAM O'NEIL SECURITIES | No | NA | PDF|XML | |
| 2024 | Q2 | 43678 | WILLIAMS TRADING LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML |