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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 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 19456 | ROBERTS & RYAN, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 47215 | SECURITIES EQUITY GROUP - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 265 | EQUITY SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 11826 | LIME TRADING CORP | Self | 10/30/2024 | ||
| 2024 | Q3 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 519 | LINCOLN INVESTMENT | Self | 10/30/2024 | ||
| 2024 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 26193 | ALAMO CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 1175 | BARRETT & COMPANY - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 103792 | EF HUTTON LLC | Self | 10/30/2024 | XML | DCSD |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 103792 | EF HUTTON LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 29163 | COKER & PALMER - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 8246 | OPAL SECURITIES, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | ||
| 2024 | Q3 | 139515 | MCAP LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 2440 | KIMELMAN & BAIRD, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | ||
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 148743 | SPIDERROCK EXS, LLC | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 2347 | JEFFERIES LLC | Self | 10/30/2024 | ||
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 26193 | ALAMO CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 10/30/2024 | XML | |
| 2024 | Q3 | 20677 | WESTMINSTER FINANCIAL SECURITIES, 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 | ||
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 10/30/2024 | XML | |
| 2024 | Q3 | 107403 | SPEEDTRADER, INC | Self | 10/30/2024 | ||
| 2024 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | Self | 10/30/2024 | XML | |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 10/30/2024 | ||
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 103792 | EF HUTTON LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 10/30/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 18466 | CNR SECURITIES, LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 39914 | WESTPARK CAPITAL, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 28116 | CHAPIN, DAVIS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 134 | CANTOR FITZGERALD & CO. | Self | 10/29/2024 | ||
| 2024 | Q3 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 24771 | BEECH HILL SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 33038 | DRIVEWEALTH INSTITUTIONAL LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 42578 | LIEBLONG & ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 10/29/2024 | NPTP | |
| 2024 | Q3 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 1252 | WILLIAM BLAIR | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 39011 | LEERINK PARTNERS LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 46350 | TRADE-PMR INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML |