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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 | 2543 | B. RILEY WEALTH MANAGEMENT | Self | 07/31/2024 | ||
| 2024 | Q2 | 151717 | SOFI SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 40638 | GUGGENHEIM SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 156757 | BERENBERG CAPITAL MARKETS LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 25425 | HOVDE GROUP, LLC | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 7654 | UBS SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | XML | CSTI |
| 2024 | Q2 | 46987 | VIEWTRADE SECURITIES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 104982 | TRADIER BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/31/2024 | OPTIONS | |
| 2024 | Q2 | 7353 | G.RESEARCH, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 126292 | WELLS FARGO SECURITIES, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 8174 | UBS FINANCIAL SERVICES INC. | Self | 07/31/2024 | ||
| 2024 | Q2 | 142271 | VISION FINANCIAL MARKETS LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 325118 | COMPOSER SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 16843 | FIRSTRADE SECURITIES INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | Self | 07/31/2024 | XML | PERSHING |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 46300 | TJM INVESTMENTS, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 287728 | STASH CAPITAL LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/31/2024 | XML | OPTIONS |
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 116270 | SEAPORT GLOBAL SECURITIES LLC | Self | 07/31/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC | Self | 07/31/2024 | MPID1 | |
| 2024 | Q2 | 32029 | KA ASSOCIATES, INC. | Self | 07/31/2024 | XML | |
| 2024 | Q2 | 1020 | CANACCORD GENUITY LLC | Self | 07/31/2024 | ADAM | |
| 2024 | Q2 | 39356 | KBFG SECURITIES AMERICA INC. - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | XML | |
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 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 | 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 | 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 | 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 | 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 | 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 | 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 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC - Disclosure | APEX CLEARING CORPORATION | 07/31/2024 | ||
| 2024 | Q2 | 17839 | THE INVESTMENT CENTER, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/30/2024 | XML | MRSC |
| 2024 | Q2 | 114993 | CRESCENT SECURITIES GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 145994 | PENSERRA SECURITIES, LLC | Self | 07/30/2024 | XML | PNSR |
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 159940 | BENCHMARK SECURITIES LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 25590 | PEACHCAP SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 8246 | OPAL SECURITIES, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 07/30/2024 | XML | SBSH |
| 2024 | Q2 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 6220 | HILLTOP SECURITIES INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 45993 | STONEX FINANCIAL INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 38373 | FORTE SECURITIES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | CGWM | |
| 2024 | Q2 | 2347 | JEFFERIES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 314549 | NORTHBOUND SECURITIES LLC - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 283965 | FOLIONET FINANCIAL LLC - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | ||
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 10091 | LESKO SECURITIES INC. | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 36538 | CELADON FINANCIAL GROUP LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 07/30/2024 | ||
| 2024 | Q2 | 17912 | SOGOTRADE, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7336 | FIRST TRYON SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 103789 | USCA SECURITIES LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 3870 | OSAIC FS, INC. | Self | 07/30/2024 | XML | NFS |
| 2024 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 07/30/2024 | ||
| 2024 | Q2 | 7784 | FIDELITY BROKERAGE SERVICES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 35127 | ABACUS INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 37505 | GLOBAL BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML |