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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 | Q4 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 01/27/2025 | ||
| 2024 | Q4 | 104651 | STATETRUST INVESTMENTS INC. | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 32889 | PRIME EXECUTIONS, INC. | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 290215 | VELOX CLEARING LLC | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 01/27/2025 | ||
| 2024 | Q4 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 01/27/2025 | ||
| 2024 | Q4 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 01/27/2025 | ||
| 2024 | Q4 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 01/27/2025 | ||
| 2024 | Q4 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 894 | WILLIAM O'NEIL SECURITIES | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 01/27/2025 | ||
| 2024 | Q4 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 01/27/2025 | XML | |
| 2024 | Q4 | 10299 | CETERA ADVISORS LLC | Self | 01/27/2025 | XML | |
| 2024 | Q4 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 01/27/2025 | ||
| 2024 | Q4 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 01/27/2025 | ||
| 2024 | Q4 | 134 | CANTOR FITZGERALD & CO. | Self | 01/26/2025 | ||
| 2024 | Q4 | 134 | CANTOR FITZGERALD & CO. | Self | 01/26/2025 | XML | |
| 2024 | Q4 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 01/25/2025 | XML | |
| 2024 | Q4 | 283701 | MARKET SECURITIES, LLC | Self | 01/25/2025 | XML | |
| 2024 | Q4 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 01/25/2025 | ||
| 2024 | Q4 | 283701 | MARKET SECURITIES, LLC | Self | 01/25/2025 | ||
| 2024 | Q4 | 305818 | FINTRON INVEST | Self | 01/24/2025 | XML | |
| 2024 | Q4 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 01/24/2025 | ||
| 2024 | Q4 | 505 | LADENBURG THALMANN & CO. INC. | Self | 01/24/2025 | ||
| 2024 | Q4 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 01/24/2025 | XML | |
| 2024 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 01/24/2025 | ||
| 2024 | Q4 | 120583 | US TIGER SECURITIES, INC. | Self | 01/24/2025 | XML | |
| 2024 | Q4 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 01/24/2025 | XML | |
| 2024 | Q4 | 505 | LADENBURG THALMANN & CO. INC. | Self | 01/24/2025 | XML | |
| 2024 | Q4 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 01/24/2025 | ||
| 2024 | Q4 | 305818 | FINTRON INVEST | Self | 01/24/2025 | ||
| 2024 | Q4 | 120583 | US TIGER SECURITIES, INC. | Self | 01/24/2025 | ||
| 2024 | Q4 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 01/24/2025 | ||
| 2024 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 01/24/2025 | ||
| 2024 | Q4 | 159481 | FENIX SECURITIES, LLC | Self | 01/23/2025 | ||
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 17358 | M&T SECURITIES, INC. | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | Self | 01/23/2025 | ||
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 01/23/2025 | ||
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | VIRTU AMERICAS LLC | 01/23/2025 | XML | |
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 149823 | VIRTU AMERICAS LLC | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 01/23/2025 | ||
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 2908 | NEUBERGER BERMAN BD LLC | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 566 | KEYBANC CAPITAL MARKETS INC. | Self | 01/23/2025 | ||
| 2024 | Q4 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 250 | EDWARD JONES | Self | 01/23/2025 | ||
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 01/23/2025 | RAJA | |
| 2024 | Q4 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 19258 | HARBOUR INVESTMENTS, INC. | Self | 01/23/2025 | ||
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 01/23/2025 | XML | |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 149823 | VIRTU AMERICAS LLC | Self | 01/23/2025 | ||
| 2024 | Q4 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 30177 | HUNTER ASSOCIATES LLC | Self | 01/23/2025 | XML | INFO |
| 2024 | Q4 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 01/23/2025 | ||
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 01/23/2025 | XML | EFGBANK |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 566 | KEYBANC CAPITAL MARKETS INC. | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | EQUITY |
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 17358 | M&T SECURITIES, INC. | Self | 01/23/2025 | ||
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | XML | RAJA |
| 2024 | Q4 | 250 | EDWARD JONES | Self | 01/23/2025 | XML | |
| 2024 | Q4 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 01/23/2025 | ||
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 01/23/2025 | ||
| 2024 | Q4 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | RAJA | |
| 2024 | Q4 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 01/23/2025 | ||
| 2024 | Q4 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 01/23/2025 | XML | |
| 2024 | Q4 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 01/23/2025 | ||
| 2024 | Q4 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 01/23/2025 | EQUITY | |
| 2024 | Q4 | 30177 | HUNTER ASSOCIATES LLC | Self | 01/23/2025 | INFO | |
| 2024 | Q4 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 01/23/2025 | XML |