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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 10/31/2024 | CGWM | |
| 2024 | Q3 | 3777 | WILSON-DAVIS & CO., INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | Self | 10/31/2024 | XML | STONEX1 |
| 2024 | Q3 | 155291 | CENTRAL STATES CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 159940 | BENCHMARK SECURITIES LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 37711 | STOCK TRADERS - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 39944 | BAY CREST PARTNERS, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 18456 | STONEX SECURITIES INC. - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 2903 | MARTIN NELSON & CO., INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 2903 | MARTIN NELSON & CO., INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 149823 | VIRTU AMERICAS LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 316281 | FENNEL | Self | 10/31/2024 | ||
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 7897 | INSTINET, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 173643 | UCAP AMERICAS - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 15916 | SIGNAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6220 | HILLTOP SECURITIES INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 10/31/2024 | ||
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 281867 | OLD MISSION MARKETS LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 42847 | POLAR INVESTMENT COUNSEL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 6220 | HILLTOP SECURITIES INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 306255 | PRISM FINANCIAL PRODUCTS LP | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 8089 | TZ CLEAR LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 22373 | NAVIGATOR SECURITIES LIMITED - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 10012 | WALL STREET ACCESS | Self | 10/31/2024 | ||
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 14143 | SYCAMORE FINANCIAL GROUP - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | Self | 10/31/2024 | XML | CHBC |
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | Self | 10/31/2024 | XML | CSTI |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | XML | OPTIONS |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 10/31/2024 | ||
| 2024 | Q3 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 8209 | MORGAN STANLEY & CO. LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 127818 | OPEN TO THE PUBLIC INVESTING, INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 14178 | REVERE SECURITIES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 38105 | FMN CAPITAL CORPORATION | Self | 10/31/2024 | ||
| 2024 | Q3 | 7654 | UBS SECURITIES LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 42847 | POLAR INVESTMENT COUNSEL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 127473 | KCD FINANCIAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 32754 | MARK J. MULLER EQUITIES, INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 16325 | STERN BROTHERS & CO. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/31/2024 | XML | APEXFLOW |
| 2024 | Q3 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 42057 | ARVEST WEALTH MANAGEMENT | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 139107 | FIRST ASSET FINANCIAL INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 10/31/2024 | SBSH | |
| 2024 | Q3 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | Self | 10/31/2024 | APEXFLOW | |
| 2024 | Q3 | 45993 | STONEX FINANCIAL INC. | Self | 10/31/2024 | ||
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | Self | 10/31/2024 | ADAM | |
| 2024 | Q3 | 127473 | KCD FINANCIAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 14143 | SYCAMORE FINANCIAL GROUP - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 10/31/2024 | XML | SBSH |
| 2024 | Q3 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 10/31/2024 | XML | |
| 2024 | Q2 | 36500 | PICTET OVERSEAS INC. | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | ||
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 142783 | MURRAY SECURITIES, INC. | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 155291 | CENTRAL STATES CAPITAL MARKETS, LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | ||
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 10/31/2024 | XML | CGWM |
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 289063 | WEBULL FINANCIAL LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 159940 | BENCHMARK SECURITIES LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 38923 | GVC CAPITAL LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 10/31/2024 | XML | |
| 2024 | Q3 | 39944 | BAY CREST PARTNERS, LLC | Self | 10/31/2024 | XML | |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/31/2024 | OPTIONS | |
| 2024 | Q3 | 7897 | INSTINET, LLC | Self | 10/31/2024 | ||
| 2024 | Q3 | 29249 | INSIGNEO SECURITIES, LLC - Disclosure | STONEX FINANCIAL INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 15916 | SIGNAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | XML | |
| 2024 | Q3 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q3 | 3013 | COLONIAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 10/31/2024 | ||
| 2024 | Q2 | 32754 | MARK J. MULLER EQUITIES, INC. | Self | 10/31/2024 |