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 | 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 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 6905 | FELTL & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 14178 | REVERE SECURITIES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135414 | MCDONALD PARTNERS LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 21821 | CATHAY SECURITIES, INC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 28352 | LANDOLT SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 104369 | LIGHTSPEED FINANCIAL SERVICES GROUP LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 3441 | SMITH, MOORE & CO. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK | Self | 08/01/2024 | ||
| 2024 | Q2 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 5049 | BROWN ASSOCIATES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 25427 | CFD INVESTMENTS, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 816 | CREDIT SUISSE SECURITIES (USA) LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 139515 | MCAP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 14178 | REVERE SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 290215 | VELOX CLEARING LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 29931 | ANDREW GARRETT INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | XML | EFGBANK |
| 2024 | Q2 | 114203 | GREAT POINT CAPITAL LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 134284 | RQD* CLEARING, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 19982 | GFI SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 205 | SANCTUARY SECURITIES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 316281 | FENNEL | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | ||
| 2024 | Q2 | 281867 | OLD MISSION MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY | Self | 07/31/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | ||
| 2024 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | ALPACA SECURITIES LLC | 07/31/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | Self | 07/31/2024 | XML | STONEX1 |
| 2024 | Q2 | 19456 | ROBERTS & RYAN, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 5397 | DAVID LERNER ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 19647 | MIZUHO SECURITIES USA LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | ||
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 316641 | FREC SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 7654 | UBS SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | Self | 07/31/2024 | XML |