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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 | 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 | |
| 2024 | Q2 | 30882 | CLARKSONS SECURITIES, INC | Self | 07/26/2024 | ||
| 2024 | Q2 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 32396 | VECTORGLOBAL WMG - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 32396 | VECTORGLOBAL WMG - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18466 | CNR SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 19899 | SECU BROKERAGE SERVICES - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 158599 | BOREAL CAPITAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 286504 | ALLARIA SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 70 | BCG SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 282756 | FIRST SOUTHERN, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 103857 | USA FINANCIAL SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 3063 | E. E. POWELL & COMPANY INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 7297 | REGAL SECURITIES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 39616 | STONECREST CAPITAL MARKETS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 37059 | VICTORY CAPITAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 29278 | BELLE HAVEN INVESTMENTS, L.P. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 14752 | CAPITAL INVESTMENT GROUP, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 4173 | ONEAMERICA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30032 | INVEX, LLC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 14974 | R. SEELAUS & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 2882 | VOYA FINANCIAL ADVISORS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7612 | R.M. STARK & CO., INC. | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 126291 | CAPFINANCIAL SECURITIES, LLC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 126291 | CAPFINANCIAL SECURITIES, LLC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 3767 | &PARTNERS - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 07/26/2024 | XML | |
| 2024 | Q2 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43285 | M HOLDINGS SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 158599 | BOREAL CAPITAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 131453 | HENLEY & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 31243 | VALMARK SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 146667 | INTERCAM SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 18466 | CNR SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 149758 | J.V.B. FINANCIAL GROUP, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 282756 | FIRST SOUTHERN, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML |