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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 287728 | STASH CAPITAL LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 43036 | STATE FARM VP MANAGEMENT CORP. | No | NA | PDF|XML | |
| 2024 | Q4 | 285852 | STATE STREET GLOBAL MARKETS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 104651 | STATETRUST INVESTMENTS INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 3496 | STEPHENS | No | NA | PDF|XML | |
| 2024 | Q4 | 16325 | STERN BROTHERS & CO. | No | NA | PDF|XML | |
| 2024 | Q4 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | GOLDMAN SACHS CUSTODY SOLUTIONS | PDF|XML | |
| 2024 | Q4 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | PDF|XML | |
| 2024 | Q4 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | No | NA | PDF|XML | |
| 2024 | Q4 | 37711 | STOCK TRADERS | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 39616 | STONECREST CAPITAL MARKETS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 45993 | STONEX FINANCIAL INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 30773 | STONEX OUTSOURCED SERVICES LLC | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q4 | 18456 | STONEX SECURITIES INC. | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q4 | 18456 | STONEX SECURITIES INC. | No | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | No | NA | PDF|XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 42180 | SUNBELT SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | No | NA | PDF|XML | |
| 2024 | Q4 | 14143 | SYCAMORE FINANCIAL GROUP | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 14023 | SYNOVUS SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 10571 | T.R. WINSTON & COMPANY, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 154431 | T3 TRADING GROUP, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 277027 | TASTYTRADE, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 155523 | TC2000 BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 155523 | TC2000 BROKERAGE, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 18476 | TD SECURITIES (USA) LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | No | NA | ||
| 2024 | Q4 | 17839 | THE INVESTMENT CENTER, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 2936 | THE O.N. EQUITY SALES COMPANY | No | NA | ||
| 2024 | Q4 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 120116 | THEMIS TRADING LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 300679 | THINK ALPHA SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 20996 | THINKEQUITY LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA | PDF|XML |