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 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | PERS | |
| 2024 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | SPGLOBAL | |
| 2024 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 07/22/2024 | ||
| 2024 | Q2 | 129052 | PNC INVESTMENTS | Self | 07/22/2024 | ||
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | ||
| 2024 | Q2 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 313305 | GREEN PIER FINTECH LLC | Self | 07/19/2024 | ||
| 2024 | Q2 | 290298 | FORTRESS PRIVATE LEDGER, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 36418 | INTERACTIVE BROKERS LLC | Self | 07/19/2024 | ||
| 2024 | Q2 | 104100 | M. S. HOWELLS & CO. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 313305 | GREEN PIER FINTECH LLC | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 17776 | ZIONS DIRECT, INC. - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 566 | KEYBANC CAPITAL MARKETS INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 13092 | MUTUAL SECURITIES, INC. | Self | 07/19/2024 | ||
| 2024 | Q2 | 138033 | GAR WOOD SECURITIES, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 | ||
| 2024 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 07/18/2024 | ||
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 07/18/2024 | ||
| 2024 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 07/18/2024 | ||
| 2024 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 120708 | MAXIM GROUP LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 140341 | ELEVATION, LLC | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 140341 | ELEVATION, LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | ||
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 2936 | THE O.N. EQUITY SALES COMPANY | Self | 07/17/2024 | ||
| 2024 | Q2 | 6183 | C. L. KING & ASSOCIATES, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 41791 | SANTANDER SECURITIES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 41791 | SANTANDER SECURITIES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 13572 | CETERA ADVISOR NETWORKS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 146193 | MIURA CAPITAL, LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 463 | JANNEY MONTGOMERY SCOTT LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 47873 | SAFRA SECURITIES LLC | Self | 07/16/2024 | ||
| 2024 | Q2 | 199 | D.A. DAVIDSON & CO. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 37818 | MISCHLER FINANCIAL GROUP, INC. | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. | Self | 07/16/2024 | ||
| 2024 | Q2 | 47873 | SAFRA SECURITIES LLC | Self | 07/16/2024 | XML | |
| 2024 | Q2 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | XML | |
| 2024 | Q2 | 199 | D.A. DAVIDSON & CO. | Self | 07/16/2024 | ||
| 2024 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 07/16/2024 | ||
| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | Self | 07/16/2024 | XML |