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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 | Q4 | 32029 | KA ASSOCIATES, LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 41139 | ALTERNA SECURITIES, INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 2440 | KIMELMAN & BAIRD, LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 125334 | CASTLEOAK SECURITIES, LP | Self | 01/10/2025 | ||
| 2024 | Q4 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 375 | H.C.WAINWRIGHT & CO., LLC | Self | 01/10/2025 | ||
| 2024 | Q4 | 32029 | KA ASSOCIATES, LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 01/10/2025 | ||
| 2024 | Q4 | 12963 | MONEY CONCEPTS CAPITAL CORP | Self | 01/10/2025 | ||
| 2024 | Q4 | 8330 | SEAPORT SECURITIES CORP. | Self | 01/10/2025 | ||
| 2024 | Q4 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 2440 | KIMELMAN & BAIRD, LLC | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 125334 | CASTLEOAK SECURITIES, LP | Self | 01/10/2025 | XML | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/09/2025 | XML | MPID1 |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | Self | 01/09/2025 | XML | MPID1 |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/09/2025 | XML | MPID2 |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | Self | 01/09/2025 | XML | MPID2 |
| 2024 | Q4 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Self | 01/09/2025 | ||
| 2024 | Q4 | 309574 | MONDEUM CAPITAL | Self | 01/08/2025 | XML | |
| 2024 | Q4 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 01/08/2025 | ||
| 2024 | Q4 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 01/08/2025 | ||
| 2024 | Q4 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 01/08/2025 | XML | |
| 2024 | Q4 | 128711 | CHICKASAW SECURITIES, LLC | Self | 01/08/2025 | ||
| 2024 | Q4 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 01/08/2025 | XML | |
| 2024 | Q4 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 01/08/2025 | XML | |
| 2024 | Q4 | 309574 | MONDEUM CAPITAL | Self | 01/08/2025 | ||
| 2024 | Q4 | 128711 | CHICKASAW SECURITIES, LLC | Self | 01/08/2025 | XML | |
| 2024 | Q3 | 46214 | NEXT FINANCIAL GROUP, INC. | Self | 01/08/2025 | XML | |
| 2024 | Q4 | 136300 | KEY INVESTMENT SERVICES LLC | Self | 01/08/2025 | ||
| 2024 | Q4 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 01/07/2025 | XML | |
| 2024 | Q4 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 01/07/2025 | ||
| 2024 | Q4 | 165533 | CLSA AMERICAS, LLC | Self | 01/07/2025 | XML | |
| 2024 | Q3 | 125393 | FIRST BALLANTYNE, LLC | Self | 01/07/2025 | XML | |
| 2024 | Q4 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 01/07/2025 | ||
| 2024 | Q4 | 165828 | LION STREET FINANCIAL, LLC | Self | 01/07/2025 | ||
| 2024 | Q2 | 125393 | FIRST BALLANTYNE, LLC | Self | 01/07/2025 | XML | |
| 2024 | Q4 | 26001 | TOCQUEVILLE SECURITIES L.P. | Self | 01/07/2025 | XML | |
| 2024 | Q4 | 165533 | CLSA AMERICAS, LLC | Self | 01/07/2025 | ||
| 2024 | Q4 | 6271 | TRUIST SECURITIES, INC. | Self | 01/06/2025 | ||
| 2024 | Q3 | 1763 | GROVE POINT INVESTMENTS, LLC | Self | 01/06/2025 | XML | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/06/2025 | MPID1 | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/06/2025 | MPID2 | |
| 2024 | Q4 | 6271 | TRUIST SECURITIES, INC. | Self | 01/06/2025 | XML | |
| 2024 | Q4 | 15007 | AEGIS CAPITAL CORP. | Self | 01/06/2025 | XML | |
| 2024 | Q4 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 01/03/2025 | XML | |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | Self | 01/03/2025 | MPID2 | |
| 2024 | Q4 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 01/03/2025 | ||
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | Self | 12/31/2024 | XML | |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | Self | 12/30/2024 | MPID1 | |
| 2024 | Q3 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | Self | 12/23/2024 | XML | |
| 2024 | Q3 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | Self | 12/23/2024 | ||
| 2024 | Q3 | 120708 | MAXIM GROUP LLC | Self | 12/20/2024 | XML | |
| 2024 | Q3 | 120708 | MAXIM GROUP LLC | Self | 12/20/2024 | ||
| 2024 | Q3 | 10641 | CADARET, GRANT & CO., INC. | Self | 12/19/2024 | ||
| 2024 | Q3 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 12/18/2024 | ||
| 2024 | Q3 | 10674 | NEWEDGE SECURITIES, INC. | Self | 12/18/2024 | ||
| 2024 | Q3 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | Self | 12/17/2024 | ||
| 2024 | Q2 | 17486 | G. A. REPPLE & COMPANY | Self | 12/17/2024 | XML | |
| 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 | ||
| 2024 | Q3 | 17486 | G. A. REPPLE & COMPANY | Self | 12/17/2024 | 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 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 12/16/2024 | XML | |
| 2024 | Q3 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 12/16/2024 | ||
| 2024 | Q3 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 12/16/2024 | ||
| 2024 | Q3 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | Self | 12/16/2024 | XML | |
| 2024 | Q3 | 36418 | INTERACTIVE BROKERS LLC | Self | 12/13/2024 | ||
| 2024 | Q3 | 138033 | GAR WOOD SECURITIES, LLC - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 36538 | CELADON FINANCIAL GROUP LLC | Self | 12/13/2024 | ||
| 2024 | Q3 | 299039 | IUR SECURITIES LLC - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 15548 | RCM SECURITIES - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 132078 | COBRA TRADING, INC. - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 155523 | TC2000 BROKERAGE, INC. - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 17776 | ZIONS DIRECT, INC. - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 2024 | Q3 | 127787 | SORRENTO PACIFIC FINANCIAL, LLC | Self | 12/13/2024 | ||
| 2024 | Q3 | 290298 | FORTRESS PRIVATE LEDGER, LLC - Disclosure | INTERACTIVE BROKERS LLC | 12/13/2024 | ||
| 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 | ||
| 2024 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 12/11/2024 | OPTIONS | |
| 2024 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 12/11/2024 | OPTIONS | |
| 2024 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 12/11/2024 | 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 | ||
| 2024 | Q3 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 12/11/2024 | XML | |
| 2024 | Q3 | 5393 | CHARLES SCHWAB & CO., INC. | Self | 12/11/2024 | ||
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC | Self | 12/11/2024 | ||
| 2024 | Q3 | 10386 | D. B. MCKENNA & CO., INC. - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 12/11/2024 | OPTIONS | |
| 2024 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 12/11/2024 | OPTIONS | |
| 2024 | Q3 | 321974 | PWA SECURITIES, LLC - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | 12/11/2024 | 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 |