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 | 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 | |
| 2024 | Q3 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 10/11/2024 | ||
| 2024 | Q3 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 10299 | CETERA ADVISORS LLC | Self | 10/11/2024 | XML | |
| 2024 | Q3 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 10/11/2024 | ||
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 10/10/2024 | ||
| 2024 | Q3 | 37818 | MISCHLER FINANCIAL GROUP, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 42180 | SUNBELT SECURITIES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | Self | 10/10/2024 | NFS | |
| 2024 | Q3 | 42046 | KESTRA INVESTMENT SERVICES, LLC | Self | 10/10/2024 | ||
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | Self | 10/10/2024 | XML | PERSHING |
| 2024 | Q3 | 8096 | POPULAR SECURITIES, LLC | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 10/10/2024 | ||
| 2024 | Q2 | 47768 | FERRETTI GROUP, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 47768 | FERRETTI GROUP, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 104387 | PGM GLOBAL INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 566 | KEYBANC CAPITAL MARKETS INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/10/2024 | NFS | |
| 2024 | Q3 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | Self | 10/10/2024 | ||
| 2024 | Q3 | 37818 | MISCHLER FINANCIAL GROUP, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | Self | 10/10/2024 | XML | NFS |
| 2024 | Q3 | 12963 | MONEY CONCEPTS CAPITAL CORP | Self | 10/10/2024 | ||
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q2 | 47768 | FERRETTI GROUP, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 47768 | FERRETTI GROUP, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 10/10/2024 | ||
| 2024 | Q3 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 103727 | GAGNON SECURITIES, LLC | Self | 10/10/2024 | XML | NFS |
| 2024 | Q3 | 42180 | SUNBELT SECURITIES, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 6183 | C. L. KING & ASSOCIATES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 44848 | KOVACK SECURITIES INC. | Self | 10/10/2024 | PERSHING | |
| 2024 | Q3 | 8096 | POPULAR SECURITIES, LLC | Self | 10/10/2024 | ||
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 38964 | CREAND SECURITIES | Self | 10/10/2024 | ||
| 2024 | Q3 | 38964 | CREAND SECURITIES | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 10/10/2024 | XML | |
| 2024 | Q3 | 104387 | PGM GLOBAL INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 566 | KEYBANC CAPITAL MARKETS INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 10/10/2024 | ||
| 2024 | Q3 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 10/09/2024 | ||
| 2024 | Q3 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 10/09/2024 | ||
| 2024 | Q3 | 8330 | SEAPORT SECURITIES CORP. | Self | 10/09/2024 | ||
| 2024 | Q3 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 10/09/2024 | ||
| 2024 | Q3 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 10/09/2024 | XML | SPGLOBAL |
| 2024 | Q3 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 46173 | PARK AVENUE SECURITIES LLC | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 10/09/2024 | ||
| 2024 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 10/09/2024 | ||
| 2024 | Q3 | 8330 | SEAPORT SECURITIES CORP. | Self | 10/09/2024 | XML | |
| 2024 | Q3 | 46173 | PARK AVENUE SECURITIES LLC | Self | 10/09/2024 | ||
| 2024 | Q3 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 10/09/2024 | SPGLOBAL | |
| 2024 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 10/08/2024 | ||
| 2024 | Q3 | 120116 | THEMIS TRADING LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 165828 | LION STREET FINANCIAL, LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | Self | 10/08/2024 | ||
| 2024 | Q3 | 165828 | LION STREET FINANCIAL, LLC | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | Self | 10/08/2024 | ||
| 2024 | Q3 | 26460 | R.W.PRESSPRICH & CO. | Self | 10/08/2024 | XML | |
| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 165533 | CLSA AMERICAS, LLC | Self | 10/07/2024 | ||
| 2024 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 10/07/2024 | ||
| 2024 | Q3 | 165533 | CLSA AMERICAS, LLC | Self | 10/07/2024 | XML | |
| 2024 | Q2 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 120116 | THEMIS TRADING LLC | Self | 10/07/2024 | XML | |
| 2024 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 10/07/2024 | ||
| 2024 | Q2 | 29280 | BANKOH INVESTMENT SERVICES, INC. | Self | 10/07/2024 | ||
| 2024 | Q3 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 10/04/2024 | ||
| 2024 | Q3 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 10/04/2024 | XML | |
| 2024 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 10/03/2024 | ||
| 2024 | Q2 | 11869 | PLANMEMBER SECURITIES CORPORATION | Self | 10/03/2024 | ||
| 2024 | Q2 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. | Self | 10/03/2024 | XML | |
| 2024 | Q3 | 309574 | MONDEUM CAPITAL | Self | 10/03/2024 |