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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 | 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 | |
| 2024 | Q3 | 128089 | CARY STREET PARTNERS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 10/29/2024 | EDFP | |
| 2024 | Q3 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 6564 | SF INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | ||
| 2024 | Q3 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 19585 | HSBC SECURITIES (USA) INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 6564 | SF INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | ||
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 7353 | G.RESEARCH, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 25427 | CFD INVESTMENTS, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 104026 | BROAD STREET CAPITAL MARKETS, LLC - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 14762 | COORDINATED CAPITAL SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 7353 | G.RESEARCH, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 154431 | T3 TRADING GROUP, LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 37059 | VICTORY CAPITAL SERVICES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 19616 | WELLS FARGO CLEARING SERVICES, LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 249 | OPPENHEIMER & CO. INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 10/29/2024 | EDFC | |
| 2024 | Q3 | 37059 | VICTORY CAPITAL SERVICES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 14974 | R. SEELAUS & CO., LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7691 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Self | 10/29/2024 | ||
| 2024 | Q3 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 10/29/2024 | ||
| 2024 | Q3 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 151085 | HARBOR INVESTMENT ADVISORY, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 14974 | R. SEELAUS & CO., LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 16629 | ASHTON THOMAS SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 20996 | THINKEQUITY LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 28116 | CHAPIN, DAVIS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 19537 | FIRST WESTERN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 151085 | HARBOR INVESTMENT ADVISORY, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | Self | 10/29/2024 | ||
| 2024 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 10/29/2024 |