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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 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 133763 | OSAIC SERVICES, INC. | Self | 10/18/2024 | ||
| 2024 | Q3 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 13035 | SEARLE & CO. | Self | 10/18/2024 | ||
| 2024 | Q3 | 3496 | STEPHENS | Self | 10/18/2024 | ||
| 2024 | Q3 | 2440 | KIMELMAN & BAIRD, LLC | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 10/18/2024 | ||
| 2024 | Q3 | 133763 | OSAIC SERVICES, INC. | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 10/18/2024 | ||
| 2024 | Q3 | 114203 | GREAT POINT CAPITAL LLC | Self | 10/18/2024 | ||
| 2024 | Q3 | 3496 | STEPHENS | Self | 10/18/2024 | XML | |
| 2024 | Q3 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 10/18/2024 | ||
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 10/18/2024 | XML | |
| 2024 | Q2 | 13035 | SEARLE & CO. | Self | 10/18/2024 | ||
| 2024 | Q3 | 299274 | ALTRUIST FINANCIAL LLC | Self | 10/17/2024 | XML | |
| 2024 | Q3 | 23131 | OSAIC WEALTH, INC. | Self | 10/17/2024 | ||
| 2024 | Q3 | 25803 | TRIAD ADVISORS LLC | Self | 10/17/2024 | XML | |
| 2024 | Q3 | 140564 | REDBURN ATLANTIC | Self | 10/17/2024 | XML | |
| 2024 | Q3 | 47873 | SAFRA SECURITIES LLC | Self | 10/17/2024 | ||
| 2024 | Q3 | 23131 | OSAIC WEALTH, INC. | Self | 10/17/2024 | XML | PERSHING |
| 2024 | Q3 | 25803 | TRIAD ADVISORS LLC | Self | 10/17/2024 | ||
| 2024 | Q3 | 299274 | ALTRUIST FINANCIAL LLC | Self | 10/17/2024 | ||
| 2024 | Q3 | 47873 | SAFRA SECURITIES LLC | Self | 10/17/2024 | XML | |
| 2024 | Q3 | 23131 | OSAIC WEALTH, INC. | Self | 10/17/2024 | XML | |
| 2024 | Q3 | 6271 | TRUIST SECURITIES, INC. | Self | 10/17/2024 | XML | |
| 2024 | Q3 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 32029 | KA ASSOCIATES, LLC | Self | 10/16/2024 | ||
| 2024 | Q3 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 10/16/2024 | ||
| 2024 | Q3 | 301273 | IMC EXECUTION SERVICES | Self | 10/16/2024 | ||
| 2024 | Q3 | 70 | BCG SECURITIES, INC. | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 10/16/2024 | ||
| 2024 | Q3 | 129052 | PNC INVESTMENTS | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 5953 | VANDERBILT SECURITIES, LLC | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 10/16/2024 | ||
| 2024 | Q3 | 32029 | KA ASSOCIATES, LLC | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 11643 | HORACE MANN INVESTORS, INC. | Self | 10/16/2024 | ||
| 2024 | Q3 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 10/16/2024 | ||
| 2024 | Q3 | 5953 | VANDERBILT SECURITIES, LLC | Self | 10/16/2024 | ||
| 2024 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 301273 | IMC EXECUTION SERVICES | Self | 10/16/2024 | XML | |
| 2024 | Q3 | 70 | BCG SECURITIES, INC. | Self | 10/16/2024 | ||
| 2024 | Q3 | 129052 | PNC INVESTMENTS | Self | 10/16/2024 | ||
| 2024 | Q3 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 38751 | LEIGH BALDWIN & CO., LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 10/15/2024 | ||
| 2024 | Q3 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 11869 | PLANMEMBER SECURITIES CORPORATION | Self | 10/15/2024 | ||
| 2024 | Q3 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 10/15/2024 | ||
| 2024 | Q3 | 154327 | MSEC, LLC | Self | 10/15/2024 | ||
| 2024 | Q3 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 10/15/2024 | ||
| 2024 | Q3 | 159481 | FENIX SECURITIES, LLC | Self | 10/15/2024 | ||
| 2024 | Q3 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 10/15/2024 | ||
| 2024 | Q3 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 19258 | HARBOUR INVESTMENTS, INC. | Self | 10/15/2024 | ||
| 2024 | Q3 | 125334 | CASTLEOAK SECURITIES, LP | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 5167 | NYLIFE SECURITIES LLC | Self | 10/15/2024 | ||
| 2024 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 10/15/2024 | ||
| 2024 | Q3 | 159481 | FENIX SECURITIES, LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 10/15/2024 | ||
| 2024 | Q2 | 19258 | HARBOUR INVESTMENTS, INC. | Self | 10/15/2024 | ||
| 2024 | Q3 | 125334 | CASTLEOAK SECURITIES, LP | Self | 10/15/2024 | ||
| 2024 | Q3 | 154327 | MSEC, LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 5167 | NYLIFE SECURITIES LLC | Self | 10/15/2024 | XML | |
| 2024 | Q3 | 7477 | COLLIERS SECURITIES LLC | Self | 10/14/2024 | XML | INFO |
| 2024 | Q3 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 10/14/2024 | XML | |
| 2024 | Q3 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 10/14/2024 | XML | |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. | Self | 10/14/2024 | XML | |
| 2024 | Q3 | 41067 | DMK ADVISOR GROUP, INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 2936 | THE O.N. EQUITY SALES COMPANY | Self | 10/14/2024 | ||
| 2024 | Q3 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 5685 | PRUCO SECURITIES, LLC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. | Self | 10/14/2024 | XML | |
| 2024 | Q3 | 7477 | COLLIERS SECURITIES LLC | Self | 10/14/2024 | INFO | |
| 2024 | Q3 | 38373 | FORTE SECURITIES LLC | Self | 10/14/2024 | ||
| 2024 | Q3 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 10/14/2024 | ||
| 2024 | Q3 | 5685 | PRUCO SECURITIES, LLC. | Self | 10/14/2024 | XML | |
| 2024 | Q3 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 10/14/2024 | XML | |
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. | Self | 10/14/2024 | ||
| 2024 | Q3 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 10/13/2024 | XML | |
| 2024 | Q3 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 10/13/2024 | ||
| 2024 | Q3 | 106032 | IDB CAPITAL CORP. | Self | 10/11/2024 | ||
| 2024 | Q3 | 30177 | HUNTER ASSOCIATES LLC | Self | 10/11/2024 | XML | INFO |
| 2024 | Q3 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 10/11/2024 | ||
| 2024 | Q3 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 14023 | SYNOVUS SECURITIES, INC. | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 115368 | PARKLAND SECURITIES, LLC | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 1042 | ALLEN & COMPANY LLC | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 106032 | IDB CAPITAL CORP. | Self | 10/11/2024 | XML |