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 | Q4 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 18637 | COOPER MALONE MCCLAIN, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 14762 | COORDINATED CAPITAL SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 38690 | CORPORATE INVESTMENTS GROUP, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 121395 | CRAIG-HALLUM CAPITAL GROUP LLC | No | NA | XML | |
| 2024 | Q4 | 38964 | CREAND SECURITIES | No | NA | PDF|XML | |
| 2024 | Q4 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | ALPACA SECURITIES LLC | PDF|XML | |
| 2024 | Q4 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 25899 | CRESAP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 114993 | CRESCENT SECURITIES GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | RAJA |
| 2024 | Q4 | 42132 | CUSO FINANCIAL SERVICES, L.P. | No | NA | ||
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | RAJA |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | No | NA | PDF|XML | |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 103792 | D. BORAL CAPITAL | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 199 | D.A. DAVIDSON & CO. | No | NA | PDF|XML | |
| 2024 | Q4 | 38770 | D.M. KELLY & COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q4 | 316477 | DASTA FINANCIAL, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 1588 | DAVENPORT & COMPANY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 5397 | DAVID LERNER ASSOCIATES, INC. | No | NA | ||
| 2024 | Q4 | 130645 | DAWSON JAMES SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 308213 | DIGITAL BROKERAGE SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | No | NA | PDF|XML | |
| 2024 | Q4 | 41067 | DMK ADVISOR GROUP, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 1660 | DOFT & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 18975 | DOMINARI SECURITIES LLC | No | NA | ||
| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | ||
| 2024 | Q4 | 33038 | DRIVEWEALTH INSTITUTIONAL LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 165429 | DRIVEWEALTH, LLC | No | NA | XML |