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 | 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 | 161014 | MAREX CAPITAL MARKETS INC. | Self | 07/29/2024 | XML | CNFR |
| 2024 | Q2 | 277027 | TASTYTRADE, INC. | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | Self | 07/29/2024 | XML | |
| 2024 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 15041 | FIRST BANKERS' BANC SECURITIES, INC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7616 | COWEN AND COMPANY | Self | 07/26/2024 | ||
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 6564 | SF INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7612 | R.M. STARK & CO., INC. | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 168047 | BCI SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 136791 | CREDICORP CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 19899 | SECU BROKERAGE SERVICES - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 35800 | PHILLIPS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 168047 | BCI SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 70 | BCG SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 2882 | VOYA FINANCIAL ADVISORS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 29278 | BELLE HAVEN INVESTMENTS, L.P. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 14458 | INVESTMENT PLACEMENT GROUP - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 110942 | SENTINEL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 39616 | STONECREST CAPITAL MARKETS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 14974 | R. SEELAUS & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7560 | PERSHING LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 146667 | INTERCAM SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 110942 | SENTINEL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 15041 | FIRST BANKERS' BANC SECURITIES, INC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 3063 | E. E. POWELL & COMPANY INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 128929 | GWN SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 149758 | J.V.B. FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 128929 | GWN SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 4173 | ONEAMERICA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43285 | M HOLDINGS SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7560 | PERSHING LLC | Self | 07/26/2024 | XML |