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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 | 315194 | VF SECURITIES - Disclosure | DRIVEWEALTH, LLC | 07/30/2024 | ||
| 2024 | Q2 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 7072 | CAPE SECURITIES INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 47275 | SCF SECURITIES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 129052 | PNC INVESTMENTS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 3978 | OSAIC FA, INC. | Self | 07/30/2024 | NFS | |
| 2024 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | Self | 07/30/2024 | XML | CGWM |
| 2024 | Q2 | 17912 | SOGOTRADE, INC. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 173847 | OLDEN LANE SECURITIES, LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Self | 07/30/2024 | ||
| 2024 | Q2 | 104233 | FLAGSTAR ADVISORS - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 13041 | NATIONAL FINANCIAL SERVICES LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 36538 | CELADON FINANCIAL GROUP LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 103723 | MAPLEWOOD INVESTMENTS, INC. - Disclosure | FIDELITY BROKERAGE SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 155578 | LINCOLN DOUGLAS INVESTMENTS, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 282710 | ARKADIOS CAPITAL - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 122225 | BTIG, LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 288933 | CLEAR STREET LLC | Self | 07/30/2024 | ||
| 2024 | Q2 | 149777 | MORGAN STANLEY | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 291456 | VIRTUS CAPITAL MARKETS LLC - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 36379 | LENOX FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | ||
| 2024 | Q2 | 20999 | CALTON & ASSOCIATES, INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 16187 | CARNES CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. - Disclosure | BTIG, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 46047 | HANTZ FINANCIAL SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 104005 | BULLTICK, LLC | Self | 07/30/2024 | XML | |
| 2024 | Q2 | 127404 | PI FINANCIAL (US) CORP. | Self | 07/30/2024 | ||
| 2024 | Q2 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 13854 | SELKIRK INVESTMENTS, INC. - Disclosure | HILLTOP SECURITIES INC. | 07/30/2024 | XML | |
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | WOLVERINE EXECUTION SERVICES, LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 38105 | FMN CAPITAL CORPORATION - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | XML | |
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. - Disclosure | NATIONAL FINANCIAL SERVICES LLC | 07/30/2024 | ||
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | Self | 07/30/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | XML | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | CCMB |
| 2024 | Q2 | 30882 | CLARKSONS SECURITIES, INC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | MPSG |
| 2024 | Q2 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 164484 | TD PRIVATE CLIENT WEALTH LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 17358 | M&T SECURITIES, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 665 | PIPER SANDLER & CO. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 07/29/2024 | ||
| 2024 | Q2 | 46749 | GEORGESON SECURITIES CORPORATION - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 3767 | &PARTNERS | Self | 07/29/2024 | XML | NFS |
| 2024 | Q2 | 43706 | LAMPOST CAPITAL, L.C. | Self | 07/29/2024 | ||
| 2024 | Q2 | 16686 | BMO CAPITAL MARKETS CORP. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 07/29/2024 | XML | NFS13041MPWR |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | XML | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | NPNT |
| 2024 | Q2 | 277027 | TASTYTRADE, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 628 | FIFTH THIRD SECURITIES, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 139148 | KEPLER CAPITAL MARKETS, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 17358 | M&T SECURITIES, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 23131 | OSAIC WEALTH, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 30773 | STONEX OUTSOURCED SERVICES LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 283942 | BOFA SECURITIES, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 894 | WILLIAM O'NEIL SECURITIES | Self | 07/29/2024 | ||
| 2024 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 283942 | BOFA SECURITIES, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 39473 | TRADESTATION SECURITIES, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | Self | 07/29/2024 | ||
| 2024 | Q2 | 43706 | LAMPOST CAPITAL, L.C. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | NPTP |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | Self | 07/29/2024 | PERSHING7560GWFS | |
| 2024 | Q2 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | CNFR |
| 2024 | Q2 | 277027 | TASTYTRADE, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | ||
| 2024 | Q2 | 628 | FIFTH THIRD SECURITIES, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | 07/29/2024 | ||
| 2024 | Q2 | 164484 | TD PRIVATE CLIENT WEALTH LLC | Self | 07/29/2024 | ||
| 2024 | Q2 | 665 | PIPER SANDLER & CO. | Self | 07/29/2024 | ||
| 2024 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 23131 | OSAIC WEALTH, INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | XML | |
| 2024 | Q2 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC - Disclosure | BOFA SECURITIES, INC. | 07/29/2024 | ||
| 2024 | Q2 | 894 | WILLIAM O'NEIL SECURITIES | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 2739 | SCOTIA CAPITAL (USA) INC. | Self | 07/29/2024 | ||
| 2024 | Q2 | 3767 | &PARTNERS | Self | 07/29/2024 | NFS |