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 | 24549 | FIRST DALLAS SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 7353 | G.RESEARCH, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 19537 | FIRST WESTERN SECURITIES, INC. - 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 | 8365 | AMUNI FINANCIAL, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 6888 | JONESTRADING | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 27954 | LOMBARD SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 142910 | PINNACLE INVESTMENTS, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 145589 | XML SECURITIES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML |