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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 | 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 | 15007 | AEGIS CAPITAL CORP. - 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 | 103792 | EF HUTTON LLC - 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 | 140278 | INLET SECURITIES, LLC - Disclosure | AXOS CLEARING 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 | ||
| 2024 | Q3 | 16629 | ASHTON THOMAS SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 22449 | CUTTER & COMPANY, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 40258 | NORTHLAND SECURITIES, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 6888 | JONESTRADING | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 282756 | FIRST SOUTHERN, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 139627 | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 42578 | LIEBLONG & ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 25899 | CRESAP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 282756 | FIRST SOUTHERN, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 1252 | WILLIAM BLAIR | Self | 10/29/2024 | ||
| 2024 | Q3 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 25853 | RAYMOND JAMES (USA) LTD. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q2 | 18466 | CNR SECURITIES, LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 38770 | D.M. KELLY & COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 29678 | AMERICAN HERITAGE SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 10/29/2024 | CCMB | |
| 2024 | Q3 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 17912 | SOGOTRADE, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 25853 | RAYMOND JAMES (USA) LTD. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 110942 | SENTINEL SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 30032 | INVEX, LLC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 2882 | VOYA FINANCIAL ADVISORS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 103792 | EF HUTTON LLC - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 2024 | Q2 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 46350 | TRADE-PMR INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 875 | WINTRUST INVESTMENTS LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 10/29/2024 | NPNT | |
| 2024 | Q3 | 110942 | SENTINEL SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 32889 | PRIME EXECUTIONS, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 30032 | INVEX, LLC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 126291 | CAPFINANCIAL SECURITIES, LLC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 2882 | VOYA FINANCIAL ADVISORS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 115547 | SAXONY SECURITIES, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 128089 | CARY STREET PARTNERS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML |