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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2024 | Q3 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 2936 | THE O.N. EQUITY SALES COMPANY | No | NA | PDF|XML | |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 26153 | THE ROCKWELL FINANCIAL GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 120116 | THEMIS TRADING LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 300679 | THINK ALPHA SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 20996 | THINKEQUITY LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 8478 | THURSTON SPRINGER FINANCIAL | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 46300 | TJM INVESTMENTS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 26001 | TOCQUEVILLE SECURITIES L.P. | No | NA | PDF|XML | |
| 2024 | Q3 | 46350 | TRADE-PMR INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 39473 | TRADESTATION SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 18483 | TRADEUP SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 282940 | TRADEZERO AMERICA, INC. | No | NA | ||
| 2024 | Q3 | 104982 | TRADIER BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | THINKEQUITY LLC | PDF|XML | |
| 2024 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2024 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | INSTINET, LLC | PDF|XML | |
| 2024 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | WOLVERINE EXECUTION SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | No | NA | PDF|XML | |
| 2024 | Q3 | 25803 | TRIAD ADVISORS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 11363 | TRIAD SECURITIES CORP | No | NA | ||
| 2024 | Q3 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 3618 | TRUBEE WEALTH ADVISORS, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 17499 | TRUIST INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 6271 | TRUIST SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 8089 | TZ CLEAR LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 14455 | U.S. BANCORP ADVISORS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 17868 | U.S. BANCORP INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 8174 | UBS FINANCIAL SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 7654 | UBS SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 173643 | UCAP AMERICAS | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q3 | 17073 | UMB FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 309955 | UNEST SECURITIES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 39062 | UNITED BROKERAGE SERVICES, INC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | No | NA | PDF|XML | |
| 2024 | Q3 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 120583 | US TIGER SECURITIES, INC. | No | NA | PDF|XML |