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 | 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 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | ||
| 2024 | Q2 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 1252 | WILLIAM BLAIR | Self | 07/25/2024 | ||
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 07/25/2024 | ||
| 2024 | Q2 | 3496 | STEPHENS | Self | 07/25/2024 | ||
| 2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Self | 07/25/2024 | ||
| 2024 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 594 | MOORS & CABOT, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | Self | 07/25/2024 | ||
| 2024 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 07/25/2024 | XML | |
| 2024 | Q2 | 3496 | STEPHENS | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 145276 | ETC BROKERAGE SERVICES, LLC | Self | 07/25/2024 | ||
| 2024 | Q2 | 594 | MOORS & CABOT, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 7927 | NORTHERN TRUST SECURITIES, INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | Self | 07/25/2024 | XML | |
| 2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | Self | 07/25/2024 | ||
| 2024 | Q2 | 120116 | THEMIS TRADING LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 1742 | KENSINGTON CAPITAL CORP. | Self | 07/24/2024 | ||
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | XML | |
| 2024 | Q2 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | NFSC | |
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | XML | PERS |
| 2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | INFO | |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 300679 | THINK ALPHA SECURITIES, LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 39914 | WESTPARK CAPITAL, INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 148158 | NORTH SOUTH CAPITAL, LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 07/24/2024 | ||
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | XML | NFSC |
| 2024 | Q2 | 120116 | THEMIS TRADING LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | XML | INFO |
| 2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | ||
| 2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | Self | 07/24/2024 | ||
| 2024 | Q2 | 128605 | TRADINGBLOCK - Disclosure | THINKEQUITY LLC | 07/24/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 39914 | WESTPARK CAPITAL, INC. | Self | 07/24/2024 | ||
| 2024 | Q2 | 11363 | TRIAD SECURITIES CORP | Self | 07/24/2024 | ||
| 2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | Self | 07/24/2024 | XML | |
| 2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | PERS | |
| 2024 | Q2 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 7456 | HUNTLEIGH SECURITIES CORPORATION - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 44971 | HERNDON PLANT OAKLEY, LTD. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 25899 | CRESAP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | Self | 07/23/2024 | ||
| 2024 | Q2 | 28116 | CHAPIN, DAVIS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 8478 | THURSTON SPRINGER FINANCIAL - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | ||
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 139665 | BHK SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | ||
| 2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/23/2024 | MRSC1 | |
| 2024 | Q2 | 38770 | D.M. KELLY & COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 1612 | WORLD FIRST FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 145589 | XML SECURITIES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 3254 | SAGE, RUTTY & CO., INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 128089 | CARY STREET PARTNERS - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 11025 | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 126588 | VELOCITY CLEARING, LLC | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 10740 | PROSPERA FINANCIAL SERVICES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 19537 | FIRST WESTERN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 318437 | ARENS SECURITIES - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 38770 | D.M. KELLY & COMPANY - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 |