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NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

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

Date Submitted
Displaying 601 - 700 of 3467 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q3 120708 MAXIM GROUP LLC Self 12/20/2024 PDF
2024 Q3 120708 MAXIM GROUP LLC Self 12/20/2024 XML
2024 Q3 10641 CADARET, GRANT & CO., INC. Self 12/19/2024 PDF
2024 Q3 10674 NEWEDGE SECURITIES, INC. Self 12/18/2024 PDF
2024 Q3 16164 TRANSAMERICA FINANCIAL ADVISORS, INC Self 12/18/2024 PDF
2024 Q3 14869 AMERITAS INVESTMENT COMPANY, LLC Self 12/17/2024 XML
2024 Q3 16164 TRANSAMERICA FINANCIAL ADVISORS, INC Self 12/17/2024 XML
2024 Q3 132187 GRIFFINEST ASIA SECURITIES, LLC Self 12/17/2024 PDF
2024 Q3 17486 G. A. REPPLE & COMPANY Self 12/17/2024 XML
2024 Q3 14869 AMERITAS INVESTMENT COMPANY, LLC Self 12/17/2024 PDF
2024 Q2 17486 G. A. REPPLE & COMPANY Self 12/17/2024 XML
2024 Q3 104123 WHITE MOUNTAIN CAPITAL, LLC Self 12/16/2024 XML
2024 Q3 101080 MIDWESTERN SECURITIES TRADING COMPANY, LLC Self 12/16/2024 PDF
2024 Q3 104123 WHITE MOUNTAIN CAPITAL, LLC Self 12/16/2024 PDF
2024 Q3 101080 MIDWESTERN SECURITIES TRADING COMPANY, LLC Self 12/16/2024 XML
2024 Q3 2936 THE O.N. EQUITY SALES COMPANY Self 12/16/2024 XML
2024 Q3 132187 GRIFFINEST ASIA SECURITIES, LLC Self 12/16/2024 XML
2024 Q3 15548 RCM SECURITIES - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 132078 COBRA TRADING, INC. - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 155523 TC2000 BROKERAGE, INC. - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 17776 ZIONS DIRECT, INC. - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 127787 SORRENTO PACIFIC FINANCIAL, LLC Self 12/13/2024 PDF
2024 Q3 290298 FORTRESS PRIVATE LEDGER, LLC - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 36418 INTERACTIVE BROKERS LLC Self 12/13/2024 PDF
2024 Q3 138033 GAR WOOD SECURITIES, LLC - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 36538 CELADON FINANCIAL GROUP LLC Self 12/13/2024 PDF
2024 Q3 299039 IUR SECURITIES LLC - Disclosure INTERACTIVE BROKERS LLC 12/13/2024 PDF
2024 Q3 5393 CHARLES SCHWAB & CO., INC. Self 12/11/2024 XML
2024 Q3 5393 CHARLES SCHWAB & CO., INC. Self 12/11/2024 PDF
2024 Q3 146193 MIURA CAPITAL, LLC Self 12/11/2024 PDF
2024 Q3 10386 D. B. MCKENNA & CO., INC. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 25700 LEVEL FOUR FINANCIAL, LLC - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 321974 PWA SECURITIES, LLC - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 10386 D. B. MCKENNA & CO., INC. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 25700 LEVEL FOUR FINANCIAL, LLC - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 321974 PWA SECURITIES, LLC - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 30833 CENTAURUS FINANCIAL, INC. - Disclosure CHARLES SCHWAB & CO., INC. 12/11/2024 XML
2024 Q3 30833 CENTAURUS FINANCIAL, INC. - Disclosure CHARLES SCHWAB & CO., INC. 12/11/2024 PDF
2024 Q3 705 RAYMOND JAMES & ASSOCIATES, INC. Self 12/11/2024 PDF OPTIONS
2024 Q3 14169 CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 35699 GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 705 RAYMOND JAMES & ASSOCIATES, INC. Self 12/11/2024 XML OPTIONS
2024 Q3 14169 CAPITOL SECURITIES MANAGEMENT, INC. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 35699 GLOBAL FINANCIAL SERVICES, L.L.C. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q2 17486 G. A. REPPLE & COMPANY Self 12/11/2024 PDF
2024 Q3 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure CHARLES SCHWAB & CO., INC. 12/11/2024 XML
2024 Q3 133839 WILMINGTON CAPITAL SECURITIES, LLC - Disclosure CHARLES SCHWAB & CO., INC. 12/11/2024 PDF
2024 Q3 6694 RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 18266 CULLEN INVESTMENT GROUP, LTD. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 288898 KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 PDF OPTIONS
2024 Q3 6694 RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 18266 CULLEN INVESTMENT GROUP, LTD. - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 288898 KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure RAYMOND JAMES & ASSOCIATES, INC. 12/11/2024 XML OPTIONS
2024 Q3 17486 G. A. REPPLE & COMPANY Self 12/11/2024 PDF
2024 Q3 205 SANCTUARY SECURITIES, INC. Self 12/09/2024 XML
2024 Q3 205 SANCTUARY SECURITIES, INC. Self 12/09/2024 PDF
2024 Q3 29249 INSIGNEO SECURITIES, LLC - Disclosure STONEX FINANCIAL INC. 12/06/2024 PDF
2024 Q3 282480 BULL MARKET SECURITIES, INC. - Disclosure STONEX FINANCIAL INC. 12/06/2024 PDF
2024 Q3 18456 STONEX SECURITIES INC. - Disclosure STONEX FINANCIAL INC. 12/06/2024 XML
2024 Q3 173643 UCAP AMERICAS - Disclosure STONEX FINANCIAL INC. 12/06/2024 XML
2024 Q3 83 INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure STONEX FINANCIAL INC. 12/06/2024 PDF
2024 Q3 45993 STONEX FINANCIAL INC. Self 12/06/2024 PDF
2024 Q3 283965 FOLIONET FINANCIAL LLC - Disclosure STONEX FINANCIAL INC. 12/06/2024 PDF
2024 Q3 29249 INSIGNEO SECURITIES, LLC - Disclosure STONEX FINANCIAL INC. 12/06/2024 XML
2024 Q3 282480 BULL MARKET SECURITIES, INC. - Disclosure STONEX FINANCIAL INC. 12/06/2024 XML
2024 Q3 18456 STONEX SECURITIES INC. - Disclosure STONEX FINANCIAL INC. 12/06/2024 PDF
2024 Q3 173643 UCAP AMERICAS - Disclosure STONEX FINANCIAL INC. 12/06/2024 PDF
2024 Q3 83 INTERCOASTAL CAPITAL MARKETS, INC. - Disclosure STONEX FINANCIAL INC. 12/06/2024 XML
2024 Q3 45993 STONEX FINANCIAL INC. Self 12/06/2024 XML
2024 Q3 283965 FOLIONET FINANCIAL LLC - Disclosure STONEX FINANCIAL INC. 12/06/2024 XML
2024 Q3 19801 BGC FINANCIAL, L.P. Self 12/04/2024 XML
2024 Q2 15548 RCM SECURITIES Self 12/04/2024 PDF
2024 Q3 19982 GFI SECURITIES LLC Self 12/04/2024 PDF
2024 Q3 19801 BGC FINANCIAL, L.P. Self 12/04/2024 PDF
2024 Q3 19982 GFI SECURITIES LLC Self 12/04/2024 XML
2024 Q3 318268 ALLIO MARKETS, LLC Self 11/26/2024 PDF
2024 Q3 894 WILLIAM O'NEIL SECURITIES Self 11/25/2024 PDF
2024 Q3 894 WILLIAM O'NEIL SECURITIES Self 11/25/2024 XML
2024 Q3 22208 CITIZENS JMP SECURITIES, LLC Self 11/22/2024 PDF
2024 Q3 22208 CITIZENS JMP SECURITIES, LLC Self 11/22/2024 XML
2024 Q3 138033 GAR WOOD SECURITIES, LLC Self 11/21/2024 PDF GRWD
2024 Q3 138033 GAR WOOD SECURITIES, LLC Self 11/21/2024 XML GRWD
2024 Q3 138033 GAR WOOD SECURITIES, LLC Self 11/21/2024 PDF GARW
2024 Q3 138033 GAR WOOD SECURITIES, LLC Self 11/21/2024 XML GARW
2024 Q3 328167 ARCHITECT SECURITIES LLC Self 11/21/2024 PDF
2024 Q3 35371 OSAIC INSTITUTIONS, INC. Self 11/20/2024 PDF
2024 Q3 128351 SG AMERICAS SECURITIES, LLC Self 11/20/2024 XML
2024 Q3 35371 OSAIC INSTITUTIONS, INC. Self 11/20/2024 XML
2024 Q3 128351 SG AMERICAS SECURITIES, LLC Self 11/20/2024 PDF
2024 Q3 126292 WELLS FARGO SECURITIES, LLC Self 11/18/2024 PDF
2024 Q3 18483 TRADEUP SECURITIES, INC. Self 11/15/2024 XML
2024 Q3 18483 TRADEUP SECURITIES, INC. Self 11/15/2024 PDF
2024 Q3 6939 INVESCO CAPITAL MARKETS, INC. - Disclosure CLEARPOOL EXECUTION SERVICES, LLC 11/13/2024 PDF
2024 Q3 143221 CICC US SECURITIES, INC. - Disclosure CLEARPOOL EXECUTION SERVICES, LLC 11/13/2024 PDF
2024 Q3 134657 PAR5 CAPITAL & CO LLC Self 11/13/2024 XML
2024 Q3 168490 CLEARPOOL EXECUTION SERVICES, LLC Self 11/13/2024 PDF
2024 Q3 123649 GLENDALE SECURITIES, INC. Self 11/12/2024 PDF
2024 Q3 39262 WESTERN INTERNATIONAL SECURITIES, INC. Self 11/11/2024 PDF
2024 Q3 283078 MOOMOO FINANCIAL INC. Self 11/11/2024 PDF