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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 | 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 | Q3 | 103792 | EF HUTTON LLC - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 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 | 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 | 144403 | PHX FINANCIAL, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | XML | |
| 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 | |
| 2024 | Q3 | 3254 | SAGE, RUTTY & CO., INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 3215 | ROMANO BROTHERS AND COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q2 | 154431 | T3 TRADING GROUP, LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 126291 | CAPFINANCIAL SECURITIES, LLC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7560 | PERSHING LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 8056 | YORK SECURITIES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 165429 | DRIVEWEALTH, LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 3618 | TRUBEE WEALTH ADVISORS, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 19585 | HSBC SECURITIES (USA) INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 277027 | TASTYTRADE, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 7560 | PERSHING LLC | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 7456 | HUNTLEIGH SECURITIES CORPORATION - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 10/29/2024 | ||
| 2024 | Q3 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 25427 | CFD INVESTMENTS, INC. | Self | 10/29/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 104026 | BROAD STREET CAPITAL MARKETS, LLC - Disclosure | AXOS CLEARING LLC | 10/29/2024 | ||
| 2024 | Q3 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 19537 | FIRST WESTERN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 8478 | THURSTON SPRINGER FINANCIAL - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 10/29/2024 | ||
| 2024 | Q3 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 10/29/2024 | ||
| 2024 | Q3 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 146667 | INTERCAM SECURITIES, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | XML | |
| 2024 | Q3 | 39616 | STONECREST CAPITAL MARKETS, INC. - Disclosure | PERSHING LLC | 10/29/2024 | ||
| 2024 | Q3 | 14458 | INVESTMENT PLACEMENT GROUP - 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 | XML |