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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 | Q2 | 505 | LADENBURG THALMANN & CO. INC. | Self | 09/05/2024 | ||
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/05/2024 | GARW | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 5309 | FBL MARKETING SERVICES, LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. | Self | 09/05/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 505 | LADENBURG THALMANN & CO. INC. | Self | 09/05/2024 | XML | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | Self | 09/05/2024 | XML | GARW |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. | Self | 09/05/2024 | XML | |
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCWEALTHMANAGEMENT | |
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 09/05/2024 | RBCCLEARINGCUSTODY | |
| 2024 | Q2 | 28684 | GBM INTERNATIONAL, INC. | Self | 09/05/2024 | ||
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 15650 | BOLTON GLOBAL CAPITAL | Self | 09/04/2024 | ||
| 2024 | Q2 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | Self | 09/04/2024 | XML | |
| 2024 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | Self | 09/04/2024 |