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 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 10/23/2024 | ||
| 2024 | Q3 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 10/23/2024 | ||
| 2024 | Q3 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 10/23/2024 | XML | |
| 2024 | Q3 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 10/23/2024 | XML | |
| 2024 | Q3 | 15650 | BOLTON GLOBAL CAPITAL | Self | 10/23/2024 | ||
| 2024 | Q3 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 10/23/2024 | ||
| 2024 | Q3 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 290215 | VELOX CLEARING LLC | Self | 10/23/2024 | ||
| 2024 | Q3 | 131607 | PACIFIC CENTURY SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 10/23/2024 | XML | |
| 2024 | Q3 | 104100 | M. S. HOWELLS & CO. | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 15650 | BOLTON GLOBAL CAPITAL | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 19714 | BARCLAYS CAPITAL INC. | Self | 10/23/2024 | LEHM | |
| 2024 | Q3 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 10/23/2024 | XML | |
| 2024 | Q3 | 285852 | STATE STREET GLOBAL MARKETS, LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 3767 | &PARTNERS | Self | 10/22/2024 | NFS | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | XML | PERSHING |
| 2024 | Q3 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 104651 | STATETRUST INVESTMENTS INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 17358 | M&T SECURITIES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 250 | EDWARD JONES | Self | 10/22/2024 | ||
| 2024 | Q3 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 313305 | GREEN PIER FINTECH LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 3767 | &PARTNERS | Self | 10/22/2024 | XML | NFS |
| 2024 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 6271 | TRUIST SECURITIES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | Self | 10/22/2024 | ||
| 2024 | Q3 | 17358 | M&T SECURITIES, INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | PERSHING | |
| 2024 | Q3 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 285852 | STATE STREET GLOBAL MARKETS, LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 313305 | GREEN PIER FINTECH LLC | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | XML | EFGBANK |
| 2024 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 104651 | STATETRUST INVESTMENTS INC. | Self | 10/22/2024 | ||
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | Self | 10/22/2024 | ||
| 2024 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 250 | EDWARD JONES | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 10/22/2024 | EFGBANK | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | Self | 10/22/2024 | XML | |
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 10/21/2024 | XML | PERSHING7560GWFS |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 10/21/2024 | ||
| 2024 | Q2 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/21/2024 | ||
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 10/21/2024 | ||
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 18476 | TD SECURITIES (USA) LLC | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 877 | WEDBUSH SECURITIES INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 125393 | FIRST BALLANTYNE, LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q2 | 13035 | SEARLE & CO. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 2764 | MESIROW FINANCIAL, INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/21/2024 | ||
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 24771 | BEECH HILL SECURITIES, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 10091 | LESKO SECURITIES INC. | Self | 10/21/2024 | ||
| 2024 | Q3 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | XML | |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 119004 | GRIFFIN FINANCIAL GROUP, LLC - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | XML | EQUITY |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. - Disclosure | WEDBUSH SECURITIES INC. | 10/21/2024 | ||
| 2024 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 10/21/2024 | PERSHING7560GWFS | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 13035 | SEARLE & CO. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 10/21/2024 | ||
| 2024 | Q2 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 18476 | TD SECURITIES (USA) LLC | Self | 10/21/2024 | ||
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY | |
| 2024 | Q3 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 10/21/2024 | ||
| 2024 | Q3 | 877 | WEDBUSH SECURITIES INC. | Self | 10/21/2024 | XML | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 10/21/2024 | EQUITY |