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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 | 13041 | NATIONAL FINANCIAL SERVICES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 3978 | OSAIC FA, INC. | Self | 07/30/2024 | XML | NFS |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | CITIGROUP GLOBAL MARKETS INC. | 07/30/2024 | XML | CGWM |
| 2024 | Q2 | 19524 | JOHNSON RICE & COMPANY L.L.C. | Self | 07/30/2024 | ||
| 2024 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | 07/30/2024 | ||
| 2024 | Q2 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 155578 | LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 3870 | OSAIC FS, INC. | Self | 07/30/2024 | NFS | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/30/2024 | XML | EDFC |
| 2024 | Q2 | 7353 | G.RESEARCH, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 37711 | STOCK TRADERS - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | BTIG, LLC | 07/30/2024 | ||
| 2024 | Q2 | 25803 | TRIAD ADVISORS LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 7784 | FIDELITY BROKERAGE SERVICES LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 15916 | SIGNAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 136131 | ALLY INVEST SECURITIES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 288933 | CLEAR STREET LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 149777 | MORGAN STANLEY | Self | 07/30/2024 | ||
| 2024 | Q2 | 38455 | MATRIX EXECUTIONS, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 21687 | WATERFORD CAPITAL, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 3013 | COLONIAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 115547 | SAXONY SECURITIES, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 139107 | FIRST ASSET FINANCIAL INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 300262 | ALPHALEDGER MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 18637 | COOPER MALONE MCCLAIN, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 14559 | GILL CAPITAL PARTNERS, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 120719 | WOLVERINE EXECUTION SERVICES, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 41608 | FINTRUST BROKERAGE SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 38123 | BRINKER CAPITAL SECURITIES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | Self | 07/30/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 11826 | LIME TRADING CORP | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 289063 | WEBULL FINANCIAL LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 142783 | MURRAY SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 6506 | KUYKENDALL & SCHNEIDER, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 41608 | FINTRUST BROKERAGE SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | SPGLOBAL | |
| 2024 | Q2 | 149823 | VIRTU AMERICAS LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/30/2024 | MPSG | |
| 2024 | Q2 | 142783 | MURRAY SECURITIES, INC. | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 15916 | SIGNAL SECURITIES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 2903 | MARTIN NELSON & CO., INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 173643 | UCAP AMERICAS - Disclosure | STONEX FINANCIAL INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 396 | HAZLETT, BURT & WATSON, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/30/2024 | NFS | |
| 2024 | Q2 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | VIRTU AMERICAS LLC | 07/30/2024 | ||
| 2024 | Q2 | 47275 | SCF SECURITIES, INC. | Self | 07/30/2024 | XML | |
| 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 | 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 | 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 | 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 | 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 | 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 | 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 |