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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 | 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 | ||
| 2024 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | Self | 09/04/2024 | ||
| 2024 | Q2 | 148743 | SPIDERROCK EXS, LLC | Self | 09/04/2024 | ||
| 2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 08/30/2024 | XML | |
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 08/30/2024 | ||
| 2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 08/30/2024 | ||
| 2024 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | Self | 08/30/2024 | XML | |
| 2024 | Q2 | 154327 | MSEC, LLC | Self | 08/27/2024 | XML | |
| 2024 | Q2 | 154327 | MSEC, LLC | Self | 08/26/2024 | ||
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | XML | |
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | CHARLES SCHWAB & CO., INC. | 08/22/2024 | ||
| 2024 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 08/22/2024 | XML | |
| 2024 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 08/22/2024 | ||
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | XML | |
| 2024 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | Self | 08/21/2024 | ||
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 104021 | CHOICETRADE | Self | 08/20/2024 | ||
| 2024 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | Self | 08/20/2024 | XML | |
| 2024 | Q2 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | Self | 08/20/2024 | ||
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | XML | |
| 2024 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | Self | 08/19/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. | Self | 08/14/2024 | ||
| 2024 | Q2 | 32889 | PRIME EXECUTIONS, INC. | Self | 08/12/2024 | ||
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 32889 | PRIME EXECUTIONS, INC. | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | Self | 08/12/2024 | ||
| 2024 | Q2 | 1252 | WILLIAM BLAIR | Self | 08/12/2024 | XML | |
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | XML | |
| 2024 | Q2 | 39011 | LEERINK PARTNERS LLC | Self | 08/09/2024 | ||
| 2024 | Q2 | 134 | CANTOR FITZGERALD & CO. | Self | 08/08/2024 | XML | |
| 2024 | Q2 | 134 | CANTOR FITZGERALD & CO. | Self | 08/08/2024 | ||
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | Self | 08/07/2024 | XML | LEHM |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | PERSHING | |
| 2024 | Q2 | 19714 | BARCLAYS CAPITAL INC. | Self | 08/07/2024 | LEHM | |
| 2024 | Q2 | 18487 | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Self | 08/07/2024 | XML | PERSHING |
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | Self | 08/06/2024 | ||
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | Self | 08/06/2024 | XML | |
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 08/05/2024 | ||
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | Self | 08/05/2024 | XML | |
| 2024 | Q2 | 79 | J.P. MORGAN SECURITIES LLC | Self | 08/05/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | J.P. MORGAN SECURITIES LLC | 08/05/2024 | XML | |
| 2024 | Q2 | 120708 | MAXIM GROUP LLC | Self | 08/02/2024 | XML | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID2 |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | EDFC | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPNT | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID1 | |
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | XML | MPID1 |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CCMB | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | NPTP | |
| 2024 | Q2 | 107403 | SPEEDTRADER, INC | Self | 08/02/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. | Self | 08/02/2024 | MPID2 | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | EDFP | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 08/02/2024 | CNFR | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 15007 | AEGIS CAPITAL CORP. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 283701 | MARKET SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 |