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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 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | ||
| 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 | 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 | 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 | |
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | ||
| 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 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 282331 | WATCHDOG CAPITAL, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | PERSHING | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | ||
| 2024 | Q2 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | XML | MPID1 |
| 2024 | Q2 | 249 | OPPENHEIMER & CO. INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | ADAM |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | ||
| 2024 | Q2 | 139515 | MCAP LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156691 | XP INVESTMENTS US, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 36105 | UNIVEST SECURITIES, LLC - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 25427 | CFD INVESTMENTS, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 306255 | PRISM FINANCIAL PRODUCTS LP | Self | 07/31/2024 | ||
| 2024 | Q2 | 133763 | OSAIC SERVICES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19982 | GFI SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. - Disclosure | VELOX CLEARING LLC | 07/31/2024 | XML | |
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 43678 | WILLIAMS TRADING LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 149486 | BTG PACTUAL US CAPITAL, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 42405 | EVERCORE GROUP L.L.C. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 287912 | REDBRIDGE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 630 | CIBC WORLD MARKETS CORP. | Self | 07/31/2024 | ||
| 2024 | Q2 | 15407 | ROTH CAPITAL PARTNERS, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 5397 | DAVID LERNER ASSOCIATES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 288202 | ALPACA SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 19647 | MIZUHO SECURITIES USA LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 151717 | SOFI SECURITIES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 36866 | PLANNER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 290215 | VELOX CLEARING LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 19801 | BGC FINANCIAL, L.P. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | CSTI | |
| 2024 | Q2 | 46987 | VIEWTRADE SECURITIES, INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 47788 | BETTERMENT SECURITIES - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 38105 | FMN CAPITAL CORPORATION | Self | 07/31/2024 | ||
| 2024 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 120242 | LIGHT HORSE SECURITIES, INC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | Self | 07/31/2024 | PERSHING | |
| 2024 | Q2 | 46300 | TJM INVESTMENTS, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 13071 | APEX CLEARING CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 16843 | FIRSTRADE SECURITIES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | EFGBANK | |
| 2024 | Q2 | 10012 | WALL STREET ACCESS | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 6413 | LPL FINANCIAL LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | Self | 07/31/2024 |