Introducing Firm CRD|Introducing Firm Name|Clearing Firm CRD|Clearing Firm Name|Disclosure URL|Effective From Year|Effective From Qtr
70|BCG SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
83|INTERCOASTAL CAPITAL MARKETS, INC.|6220|HILLTOP SECURITIES INC.|https://intercoastalcap.com/bcp|2024|Q2
83|INTERCOASTAL CAPITAL MARKETS, INC.|45993|STONEX FINANCIAL INC.|https://intercoastalcap.com/bcp|2024|Q2
231|BNY MELLON SECURITIES CORPORATION|7560|PERSHING LLC|https://www.pershing.com/content/dam/pershing/documents/pdfs/per-order-routing-sec-rule-606.pdf|2025|Q1
265|EQUITY SERVICES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.nationallife.com/Our-Businesses-ESI|2024|Q3
319|FOLGER NOLAN FLEMING DOUGLAS INCORPORATED|7560|PERSHING LLC|https://fnfd.com/financial-resources/disclosures-regulatory-notices/rule-606-a-disclosure-policy|2024|Q3
396|HAZLETT, BURT & WATSON, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.hazlettburt.com/order-routing-statistics|2024|Q2
519|LINCOLN INVESTMENT|7560|PERSHING LLC|https://www.lincolninvestment.com/ProductsAndServices/IndividualSecurities|2025|Q2
594|MOORS & CABOT, INC.|31194|RBC CAPITAL MARKETS, LLC|https://external.s3.com/rule606/rbcwm/correspondentsvcs/|2025|Q1
611|MUTUAL OF OMAHA INVESTOR SERVICES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
713|RICHARDS MERRILL WEALTH MANAGEMENT|19616|WELLS FARGO CLEARING SERVICES, LLC|https://rmwealthmgmt.com/team/|2024|Q2
728|ROTHSCHILD INVESTMENT LLC|7560|PERSHING LLC|https://rothschildwealth.com/wp-content/uploads/2024/10/Rothschild-Order-Routing-Disclosure.pdf|2024|Q3
875||19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
1137|PRINCIPAL SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.principal.com/sec-rule-606-trade-reporting|2024|Q4
1175|BARRETT & COMPANY|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.barrettandcompany.com//sec-rule-606|2024|Q2
1254|STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.stewardpartners.com/Regulatory-Information-&-Disclosures.36.htm|2025|Q3
1254|STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.stewardpartners.com/Regulatory-Information-&-Disclosures.36.htm|2026|Q1
1254|STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC|7560|PERSHING LLC|https://www.stewardpartners.com/Regulatory-Information-&-Disclosures.36.htm|2025|Q3
1254|STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC|7560|PERSHING LLC|https://www.stewardpartners.com/Regulatory-Information-&-Disclosures.36.htm|2026|Q1
1254|STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC|48015|GOLDMAN SACHS CUSTODY SOLUTIONS|https://www.stewardpartners.com/Regulatory-Information-&-Disclosures.36.htm|2025|Q3
1331|BROWN, LISLE/CUMMINGS, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.brownlc.com/clearing-relationship|2024|Q2
1464|ASSOCIATED INVESTMENT SERVICES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.associatedbank.com/forms-and-disclosures/disclosures/606|2025|Q1
1588|DAVENPORT & COMPANY LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
1612||19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
1834|GIRARD INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://image.e.univest.net/lib/fe4215707564067f741576/m/3/95afda6b-30da-4692-b23e-53b4db93ede7.pdf|2024|Q2
2440|KIMELMAN & BAIRD, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://kimelmanbaird.com|2024|Q3
2543|B. RILEY WEALTH MANAGEMENT|13041|NATIONAL FINANCIAL SERVICES LLC|https://brileyfin.com/capabilities/wealth/disclosures|2024|Q4
2543|B. RILEY WEALTH MANAGEMENT|19616|WELLS FARGO CLEARING SERVICES, LLC|https://brileyfin.com/capabilities/wealth/disclosures|2024|Q4
2543|B. RILEY WEALTH MANAGEMENT|117176|AXOS CLEARING LLC|https://brileyfin.com/capabilities/wealth/disclosures|2024|Q4
2762|TP ICAP GLOBAL MARKETS AMERICAS LLC|134284|RQD* CLEARING, LLC|https://public.s3.com/rule606/icap/|2026|Q1
2764|MESIROW FINANCIAL, INC.|7560|PERSHING LLC|https://www.mesirow.com/NMS-Rule-606|2025|Q3
2764|MESIROW FINANCIAL, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.mesirow.com/NMS-Rule-606|2025|Q3
2881|NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://northwesternmutual.com/order-routing-summary|2024|Q2
2882|VOYA FINANCIAL ADVISORS, INC.|7560|PERSHING LLC|https://www.voya.com/financial-professionals/voya-financial-advisors/client-information|2024|Q2
2903|MARTIN NELSON & CO., INC.|6220|HILLTOP SECURITIES INC.|https://martinnelsonco.com|2024|Q2
2950|DORN & CO., INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.dornco.com/disclosures|2024|Q2
3001|AMERICAN TRUST INVESTMENT SERVICES, INC.|31194|RBC CAPITAL MARKETS, LLC|Index of /rule606/rbcwm/wealthmgmtpcg|2025|Q2
3013|COLONIAL SECURITIES, INC.|6220|HILLTOP SECURITIES INC.|https://www.colonialsecurities.com/orderrouting|2024|Q2
3063|E. E. POWELL & COMPANY INC.|7560|PERSHING LLC|https://eepowell.com/e-e-powell-company-inc/sec-rule-606-order-routing/|2024|Q2
3215|ROMANO BROTHERS AND COMPANY|19616|WELLS FARGO CLEARING SERVICES, LLC|https://url.us.m.mimecastprotect.com/s/lVGsCYEZyoTo8yAcMsAJl?domain=wellsfargoclearingservicesllc.com|2024|Q2
3254|SAGE, RUTTY & CO., INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.sagerutty.com/disclosure|2024|Q2
3255||7560|PERSHING LLC|https://www.pershing.com/content/dam/pershing/documents/pdfs/per-order-routing-sec-rule-606.pdf|2024|Q2
3255||19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing.htm|2024|Q2
3420|HERBERT J. SIMS & CO, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
3441|SMITH, MOORE & CO.|31194|RBC CAPITAL MARKETS, LLC|https://smithmoore.com/routing-information/|2024|Q2
3618|TRUBEE WEALTH ADVISORS, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://trubeewealth.com/disclosures|2024|Q2
3767|&PARTNERS|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.andpartners.com/sec-rule-606/|2025|Q2
3875|BRIGHTON SECURITIES CORP.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.brightonsecurities.com/disclosures|2024|Q2
3998|JACK V. BUTTERFIELD INVESTMENT COMPANY|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosures/|2025|Q4
3998|JACK V. BUTTERFIELD INVESTMENT COMPANY|31194|RBC CAPITAL MARKETS, LLC|https://jvbco.com/jack-v-butterfield-investment-company-disclosure/|2025|Q4
4031|HORNOR, TOWNSEND & KENT, LLC|7560|PERSHING LLC|https://www.htk.com/for-clients|2025|Q1
4173|ONEAMERICA SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
5049|BROWN ASSOCIATES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://external.s3.com/rule606/rbcwm/wealthmgmtpcg/|2024|Q2
5309|FBL MARKETING SERVICES, LLC|31194|RBC CAPITAL MARKETS, LLC|sec-order-handling-disclosure-061824.pdf (fbfs.com)|2024|Q2
5397|DAVID LERNER ASSOCIATES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.davidlerner.com/disclosures|2026|Q1
5407|VBC SECURITIES, LLC|6220|HILLTOP SECURITIES INC.|https://www.vbcsecurities.com/disclosures|2024|Q2
5611|INSIGHT SECURITIES, INC.|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/en/index.php?f=563|2024|Q4
5611|INSIGHT SECURITIES, INC.|117176|AXOS CLEARING LLC|https://external.s3.com/rule606/axos/|2024|Q4
6363|AMERIPRISE FINANCIAL SERVICES, LLC|26506|AMERICAN ENTERPRISE INVESTMENT SERVICES INC.|https://www.ameriprise.com/products/investments/equity-and-option-order-handling-disclosures|2025|Q2
6506|KUYKENDALL & SCHNEIDER, INC.|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
6564|SF INVESTMENTS, INC.|7560|PERSHING LLC|https://sfinv.com|2024|Q2
6694|RAYMOND JAMES FINANCIAL SERVICES, INC.|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.raymondjames.com//-/media/rj/dotcom/files/legal-disclosures/rjfs-finra-rule-6151-disclosure.pdf|2024|Q2
6905|FELTL & COMPANY|31194|RBC CAPITAL MARKETS, LLC|https://feltl.com/disclosures/sec-public-reports/|2024|Q2
6914|VAN CLEMENS & CO. INCORPORATED|31194|RBC CAPITAL MARKETS, LLC|https://www.vanclemens.com/disclosures|2024|Q2
6939|INVESCO CAPITAL MARKETS, INC.|149823|VIRTU AMERICAS LLC|https://www.invesco.com/us/en/resources/capital-markets-order-routing-information.html|2024|Q2
6939|INVESCO CAPITAL MARKETS, INC.|168490|CLEARPOOL EXECUTION SERVICES, LLC|https://www.invesco.com/us/en/resources/capital-markets-order-routing-information.html|2024|Q2
6939|INVESCO CAPITAL MARKETS, INC.|283942|BOFA SECURITIES, INC.|https://www.invesco.com/us/en/resources/capital-markets-order-routing-information.html|2024|Q2
7072|CAPE SECURITIES INC.|6220|HILLTOP SECURITIES INC.|https://www.capesecurities.com/|2024|Q2
7294|GREGORY J. SCHWARTZ & CO., INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2025|Q1
7297|REGAL SECURITIES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.regalsecurities.com/our-company/clearing-firms/|2024|Q2
7336|FIRST TRYON SECURITIES, LLC|6220|HILLTOP SECURITIES INC.|https://firsttryonsecurities.com/Disclosures|2024|Q2
7353|G.RESEARCH, LLC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
7388|AMERICAN GLOBAL WEALTH MANAGEMENT, INC.|6220|HILLTOP SECURITIES INC.|https://www.americanglobalwealth.com/|2024|Q2
7413|ISAAK BOND INVESTMENTS, INC.|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
7456|HUNTLEIGH SECURITIES CORPORATION|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.hntlgh.com/order-routing-and-execution|2024|Q2
7524|FIRST KENTUCKY SECURITIES CORPORATION|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
7612|R.M. STARK & CO., INC.|7560|PERSHING LLC|www.orderroutingdisclosure.com|2024|Q2
7717|INDEPENDENT FINANCIAL GROUP, LLC|7560|PERSHING LLC|https://www.ifgsd.com/disclosures|2024|Q2
7726|ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/index.htm|2024|Q2
7763|CENTENNIAL SECURITIES COMPANY, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.centennialsec.com/606-disclosure|2024|Q4
7995|AUSDAL FINANCIAL PARTNERS, INC.|7560|PERSHING LLC|https://www.ausdal.com/site-disclosures|2025|Q1
8000|GMS GROUP|7560|PERSHING LLC|https://www.gmsgroup.com/disclosure/|2025|Q4
8032|COMMONWEALTH FINANCIAL NETWORK|7560|PERSHING LLC|https://www.commonwealth.com/for-clients/disclosure/order-routing-procedure|2024|Q2
8032|COMMONWEALTH FINANCIAL NETWORK|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.commonwealth.com/for-clients/disclosure/order-routing-procedure|2024|Q2
8052|CREWS & ASSOCIATES, INC.|7560|PERSHING LLC|https://www.crewsfs.com/content/uploads/2021/03/Pershing-Order-Routing-Disclosure.pdf|2025|Q1
8056|YORK SECURITIES, INC.|117176|AXOS CLEARING LLC|https://www.yorktrade.com/disclosures.html#order_routing|2024|Q2
8300|SPENCER-WINSTON SECURITIES CORPORATION|877|WEDBUSH SECURITIES INC.|https://public.s3.com/11ac1-6/swst/|2025|Q3
8361|A.G.P. / ALLIANCE GLOBAL PARTNERS|13041|NATIONAL FINANCIAL SERVICES LLC|https://allianceg.com/our-firm/custody-and-clearing/|2024|Q2
8361|A.G.P. / ALLIANCE GLOBAL PARTNERS|31194|RBC CAPITAL MARKETS, LLC|https://allianceg.com/our-firm/custody-and-clearing/|2024|Q2
8365|AMUNI FINANCIAL, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.amuni.com/legal-disclosures/|2024|Q2
8478|THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
10091|LESKO SECURITIES INC.|13041|NATIONAL FINANCIAL SERVICES LLC|MEGA_EF6.xml|2024|Q2
10386|D. B. MCKENNA & CO., INC.|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.raymondjames.com/legal-disclosures/sec-order-execution-routing-disclosures/rja-order-routing-summary|2024|Q2
10409|MML INVESTORS SERVICES, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.massmutual.com/legal/mmlis|2024|Q2
10579|CAPITAL MANAGEMENT SECURITIES, INC.|6220|HILLTOP SECURITIES INC.|www.cap-mgt.com|2024|Q2
10645|INTERNATIONAL ASSETS ADVISORY, LLC|31194|RBC CAPITAL MARKETS, LLC|http://external.s3.com/rule606/rbcwm/correspondentsvcs/|2024|Q3
10690|SEI INVESTMENTS DISTRIBUTION CO.|79|J.P. MORGAN SECURITIES LLC|https://www.seic.com/login-clients/sei-investments-distribution-co-rule-605-and-606-reports|2024|Q2
10690|SEI INVESTMENTS DISTRIBUTION CO.|7059|CITIGROUP GLOBAL MARKETS INC.|https://www.seic.com/login-clients/sei-investments-distribution-co-rule-605-and-606-reports|2024|Q2
10690|SEI INVESTMENTS DISTRIBUTION CO.|131487||https://www.seic.com/login-clients/sei-investments-distribution-co-rule-605-and-606-reports|2024|Q2
10690|SEI INVESTMENTS DISTRIBUTION CO.|149823|VIRTU AMERICAS LLC|https://www.seic.com/login-clients/sei-investments-distribution-co-rule-605-and-606-reports|2024|Q2
10690|SEI INVESTMENTS DISTRIBUTION CO.|283942|BOFA SECURITIES, INC.|https://www.seic.com/login-clients/sei-investments-distribution-co-rule-605-and-606-reports|2024|Q2
10722|COINBASE CAPITAL MARKETS CORP|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2026|Q1
10740|PROSPERA FINANCIAL SERVICES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://prosperafinancial.com/disclosures|2024|Q2
10963|PAPAMARKOU WELLNER & CO., INC.|7560|PERSHING LLC|https://www.netxinvestor.com/nxi/disclosure/tradingdisclosure/orderrouting|2024|Q3
11025|WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
11173|NATIONWIDE SECURITIES, LLC|7560|PERSHING LLC|https://www.nationwide.com/personal/investing/nationwide-securities-information/|2024|Q2
11643|HORACE MANN INVESTORS, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
12963|MONEY CONCEPTS CAPITAL CORP|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
13037|INVESTORS BROKERAGE OF TEXAS, LTD.|6220|HILLTOP SECURITIES INC.|https://investorsbrokerage.com/disclosures/|2024|Q2
13092|MUTUAL SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.mutual.group/order-flow-disclosures|2024|Q2
13109|EMPOWER FINANCIAL SERVICES, INC.|7560|PERSHING LLC|https://www.empower.com/sec-rule-605-rule-606|2024|Q2
13577|NETWORK 1 FINANCIAL SECURITIES INC.|117176|AXOS CLEARING LLC|https://external.s3.com/rule606/axos/|2025|Q3
13854|SELKIRK INVESTMENTS, INC.|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
14143|SYCAMORE FINANCIAL GROUP|6220|HILLTOP SECURITIES INC.|https://firm123.com/disclosure-link|2024|Q2
14169|CAPITOL SECURITIES MANAGEMENT, INC.|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.capitolsecurities.com/order-routing-disclosure/|2024|Q2
14458|INVESTMENT PLACEMENT GROUP|7560|PERSHING LLC|https://investipg.com/order-routing-practices/|2024|Q2
14559|GILL CAPITAL PARTNERS, LLC|6220|HILLTOP SECURITIES INC.|https://www.gillinvest.com/disclosure|2024|Q2
14627|FIRST SECURITIES NORTHWEST, INC.|6220|HILLTOP SECURITIES INC.|https://firstsecurities.com|2024|Q2
14752|CAPITAL INVESTMENT GROUP, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
14762|COORDINATED CAPITAL SECURITIES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing.htm|2024|Q2
14974|R. SEELAUS & CO., LLC|7560|PERSHING LLC|https://www.rseelaus.com/Customer-Content/www/CMS/files/SEELAUS_LLC_Rule_606_for_Website_Oct_2021.pdf|2024|Q2
15007|AEGIS CAPITAL CORP.|31194|RBC CAPITAL MARKETS, LLC|https://mta.ihsmarkit.com/app-v2/public-report-library/public-report-library-view/Aegis%20Capital%20Corp/441|2024|Q2
15007|AEGIS CAPITAL CORP.|117176|AXOS CLEARING LLC|https://mta.ihsmarkit.com/app-v2/public-report-library/public-report-library-view/Aegis%20Capital%20Corp/441|2024|Q2
15041|FIRST BANKERS' BANC SECURITIES, INC|7560|PERSHING LLC|https://fbbsinc.com/order-routing/|2024|Q2
15548|RCM SECURITIES|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/en/general/about/brokerDealerReports.php|2024|Q3
15708||7560|PERSHING LLC|https://concoursefinancial.com/investor-disclosures|2024|Q2
15916|SIGNAL SECURITIES, INC.|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
16187|CARNES CAPITAL CORPORATION|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.private-cap.com/carnes/|2025|Q3
16187|CARNES CAPITAL CORPORATION|149823|VIRTU AMERICAS LLC|https://www.private-cap.com/carnes/|2025|Q3
16204|LIFEMARK SECURITIES CORP.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.lifemark.com/|2024|Q3
16365|CARTER, TERRY & COMPANY, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
16569|ALLIED MILLENNIAL PARTNERS, LLC|36418|INTERACTIVE BROKERS LLC|Interactive Brokers Rule 606a Quarterly Broker-Dealer Order Routing Report | Interactive Brokers LLC|2025|Q1
16569|ALLIED MILLENNIAL PARTNERS, LLC|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/en/general/about/brokerDealerReports.php|2025|Q4
16569|ALLIED MILLENNIAL PARTNERS, LLC|45993|STONEX FINANCIAL INC.|https://public.s3.com/rule605/intl/|2025|Q1
16569|ALLIED MILLENNIAL PARTNERS, LLC|45993|STONEX FINANCIAL INC.|https://public.s3.com/rule605/intl/|2025|Q4
16629|ASHTON THOMAS SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q3
16715|VALLEY NATIONAL INVESTMENTS, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://valleynationalgroup.com/disclosure/|2025|Q2
17117|FIRST HORIZON ADVISORS, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.firsthorizon.com/First-Horizon-Advisors/Investments-Disclosure|2024|Q2
17437|AMERICAN CENTURY INVESTMENT SERVICES INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
17530|BOK FINANCIAL SECURITIES, INC.|7560|PERSHING LLC|https://securities.bokfinancial.com/legal-and-privacy/legal-disclosures|2024|Q2
17587|MOMENTUM INDEPENDENT NETWORK INC.|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
17776|ZIONS DIRECT, INC.|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/en/general/about/brokerDealerReports.php|2024|Q2
17870|NBC SECURITIES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.nbcsecurities.com/important-disclosures/|2024|Q3
18234|LEMLEY, YARLING & CO.|31194|RBC CAPITAL MARKETS, LLC|no website|2024|Q3
18266||705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.cullenonline.com/sec-order-execution-routing-disclosure|2024|Q2
18272|ALLSTATE FINANCIAL SERVICES, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.allstate.com/about/statutory-statements.aspx|2024|Q2
18437|SATURNA BROKERAGE SERVICES, INC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q1
18456|STONEX SECURITIES INC.|7560|PERSHING LLC|SEC Rule 606 (formerly SEC 11Ac1-6) Administration - Disclaimer Screen (orderroutingdisclosure.com)|2024|Q2
18456|STONEX SECURITIES INC.|45993|STONEX FINANCIAL INC.|https://www.filesandimages.com/Brand/StoneX/PDF/COMP_Order_Routing_Disclosure_20240606X-1.pdf|2024|Q2
18466|CNR SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
18637||6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
18810|CONSOLIDATED FINANCIAL INVESTMENTS, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.consolidatedstl.com/about|2024|Q2
18975|DOMINARI SECURITIES LLC|877|WEDBUSH SECURITIES INC.|https://public.s3.com/rule605/wedb/|2025|Q2
18975|DOMINARI SECURITIES LLC|5393|CHARLES SCHWAB & CO., INC.|https://www.schwab.com/legal/order-routing-1|2025|Q2
18975|DOMINARI SECURITIES LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2025|Q2
19453|BRADESCO INVESTMENTS INC.|7560|PERSHING LLC|https://bradescobank.com/en/other-disclosures/|2025|Q3
19453|BRADESCO INVESTMENTS INC.|13071|APEX CLEARING CORPORATION|https://bradescobank.com/en/other-disclosures/|2025|Q3
19537|FIRST WESTERN SECURITIES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.firstwesternsecurities.com/order-routing-practices|2024|Q2
19585|HSBC SECURITIES (USA) INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q2
19610|RHODES SECURITIES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
19899|SECU BROKERAGE SERVICES|7560|PERSHING LLC|https://www.ncsecu.org/pdfs/accounts/investment-accounts/ClearingRelationshipDisclosure.pdf|2024|Q2
20677|WESTMINSTER FINANCIAL SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.westminsterfinancial.com/rule-606-disclosures|2024|Q2
20804|UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
20999|CALTON & ASSOCIATES, INC.|6220|HILLTOP SECURITIES INC.|https://www.calton.com/clients/client-disclosures/|2024|Q2
20999|CALTON & ASSOCIATES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.calton.com/clients/client-disclosures/|2024|Q2
21000|OAKWOOD CAPITAL SECURITIES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.oakwoodcs.com/files/sec_rule_606.pdf|2024|Q2
21544|MIDDLEGATE SECURITIES INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.middlegate.com/sec-rule-606-reports|2024|Q2
21687|WATERFORD CAPITAL, INC.|6220|HILLTOP SECURITIES INC.|https://waterfordcapital.com/disclosures/order-routing|2024|Q2
21821|CATHAY SECURITIES, INC.|290215|VELOX CLEARING LLC|https://www.cathaysecurities.com/gw/link/SEC%20Rule%20606.pdf|2025|Q2
22098|MULTI-BANK SECURITIES, INC.|7560|PERSHING LLC|https://mbssecurities.com/|2025|Q3
22373||6220|HILLTOP SECURITIES INC.|https://avior.com/locations/wealth-management-the-woodlands-tx/|2024|Q2
22449||19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.cutterco.com/legal-information|2024|Q2
22449||31194|RBC CAPITAL MARKETS, LLC|https://www.cutterco.com/legal-information|2024|Q2
23224|MADISON AVENUE SECURITIES, LLC|7560|PERSHING LLC|https://mas-bd.com/sec-order-routing/|2024|Q3
23407|BUCKMAN, BUCKMAN & REID, INC.|31194|RBC CAPITAL MARKETS, LLC|http://external.s3.com/rule606/rbcwm/correspondentsvcs/|2024|Q2
23769|REALTA EQUITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q2
23769|REALTA EQUITIES, INC.|117176|AXOS CLEARING LLC|https://external.s3.com/rule606/axos/|2025|Q2
24549|FIRST DALLAS SECURITIES INCORPORATED|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.firstdallas.com/disclosures|2024|Q2
24771|BEECH HILL SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
24795|JOSEPH GUNNAR & CO. LLC|31194|RBC CAPITAL MARKETS, LLC|Legal & Regulatory Information __ Joseph Gunnar & Co. LLC.html|2024|Q2
25590|PEACHCAP SECURITIES, INC.|6220|HILLTOP SECURITIES INC.|https://www.peachcap.com/copy-of-terms-of-use|2024|Q2
25700|LEVEL FOUR FINANCIAL, LLC|705|RAYMOND JAMES & ASSOCIATES, INC.|https://public.s3.com/rule606/raja/|2024|Q2
25706|LIBERTY CAPITAL INVESTMENT CORPORATION|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
25766|HENNION & WALSH, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing.htm|2024|Q2
25853|RAYMOND JAMES (USA) LTD.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q3
25899|CRESAP, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
26153|THE ROCKWELL FINANCIAL GROUP, INC.|6220|HILLTOP SECURITIES INC.|https://therockwellfinancialgroup.com/our-partners|2024|Q2
26193|ALAMO CAPITAL|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q3
27913|L.M. KOHN & COMPANY|31194|RBC CAPITAL MARKETS, LLC|https://www.lmkohn.com/sec-order-handling-disclosures/|2024|Q2
27954|LOMBARD SECURITIES INCORPORATED|19616|WELLS FARGO CLEARING SERVICES, LLC|https://golombard.com/wp-content/uploads/LSI-Order-Flow-Disclosure.pdf|2024|Q2
28116|CHAPIN, DAVIS|19616|WELLS FARGO CLEARING SERVICES, LLC|https://chapindavis.com/order-routing-disclosures-rule-606/|2024|Q2
28218|STIFEL INDEPENDENT ADVISORS, LLC|793|STIFEL, NICOLAUS & COMPANY, INCORPORATED|https://stifelindependence.com/important-disclosures|2024|Q3
28352|LANDOLT SECURITIES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.landoltsecurities.com/client-disclosures|2024|Q2
29037|SYNDICATED CAPITAL, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q3
29087|WORLD EQUITY GROUP, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q1
29087|WORLD EQUITY GROUP, INC.|31194|RBC CAPITAL MARKETS, LLC|https://external.s3.com/rule606/rbcwm/wealthmgmtpcg/|2025|Q1
29163|COKER & PALMER|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q3
29249|INSIGNEO SECURITIES, LLC|45993|STONEX FINANCIAL INC.|https://public.s3.com/rule606/intl/|2024|Q3
29278|BELLE HAVEN INVESTMENTS, L.P.|7560|PERSHING LLC|https://www.bellehaven.com/disclosures|2024|Q2
29678|AMERICAN HERITAGE SECURITIES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
29721|GLOBALINK SECURITIES, INC.|877|WEDBUSH SECURITIES INC.|https://globalinkusa.com/business-continuity-plan/|2025|Q2
29721|GLOBALINK SECURITIES, INC.|36418|INTERACTIVE BROKERS LLC|https://globalinkusa.com/business-continuity-plan/|2025|Q2
29753|ORIENTAL FINANCIAL SERVICES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|2024|Q2
29775|CONTINENTAL INVESTORS SERVICES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcwm-usa.com/legal/rbc-as/cid-360857.html|2024|Q2
30032|INVEX, LLC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
30177|HUNTER ASSOCIATES LLC|7560|PERSHING LLC|https://hunterassociates.com/disclosures/|2024|Q2
30568|REGISTER FINANCIAL ASSOCIATES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing/order-routing-606.htm|2024|Q2
30605|ABG SUNDAL COLLIER INC.|117176|AXOS CLEARING LLC|https://external.s3.com/rule606/axos/117176_606_NMS_2025_Q3_AXOS.zip|2025|Q3
30648|BANORTE SECURITIES INTERNATIONAL, LTD.|7560|PERSHING LLC|https://www.banortewealthmanagement.com/?lang=en|2025|Q4
30770|SUTTER SECURITIES INCORPORATED|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
30773||283942|BOFA SECURITIES, INC.|https://public.s3.com/rule606/bofas/|2024|Q2
30812|RIEDL FIRST SECURITIES COMPANY OF KANSAS|31194|RBC CAPITAL MARKETS, LLC|https://www.riedlfirst.net/securities/sec_disclosure|2024|Q2
30833|CENTAURUS FINANCIAL, INC.|5393|CHARLES SCHWAB & CO., INC.|https://www.centaurusfinancial.com/investor-information/|2024|Q2
30833|CENTAURUS FINANCIAL, INC.|7560|PERSHING LLC|https://www.centaurusfinancial.com/investor-information/|2024|Q2
30996|HEROLD & LANTERN INVESTMENTS, INC.|7560|PERSHING LLC|https://www.heroldlantern.com/606-disclosure-statement|2024|Q2
31029|NATIONWIDE PLANNING ASSOCIATES INC.|7560|PERSHING LLC|https://nationwideplanning.com/financial-advisors/clearing.html|2024|Q3
31155|PORTFOLIO RESOURCES GROUP, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
31243|VALMARK SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
31741|HALLIDAY FINANCIAL, LLC|7560|PERSHING LLC|https://hallidayfinancial.com/|2025|Q1
31793|FINANCORP GROUP INTERNATIONAL CORPORATION|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/ibkr606Reports/IBKR_606a_2025_Q3.pdf|2025|Q3
31793|FINANCORP GROUP INTERNATIONAL CORPORATION|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/ibkr606Reports/IBKR_606a_2025_Q4.pdf|2025|Q4
32396|VECTORGLOBAL WMG|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
32460|FIRST HEARTLAND CAPITAL, INC.|7560|PERSHING LLC|https://files.brokercheck.finra.org/firm/firm_32460.pdf|2024|Q2
35127|ABACUS INVESTMENTS, INC.|6220|HILLTOP SECURITIES INC.|https://firm123.com/disclosure-link|2024|Q2
35699|GLOBAL FINANCIAL SERVICES, L.L.C.|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.fisglobal.com/ptc/rule-606|2024|Q2
35699|GLOBAL FINANCIAL SERVICES, L.L.C.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
35800||7560|PERSHING LLC|https://phillipsandco.com/order-routing-disclosure/|2024|Q2
35844|CASCADE INVESTMENT GROUP, INC.|31194|RBC CAPITAL MARKETS, LLC|https://ciginc.net/disclosure-link|2024|Q2
35878|SPROTT GLOBAL RESOURCE INVESTMENTS LTD|31194|RBC CAPITAL MARKETS, LLC|https://sprottusa.com/legal/|2024|Q2
36105|UNIVEST SECURITIES, LLC|169708|CURVATURE SECURITIES LLC|https://speedtrader.com/routing-report/|2024|Q2
36105|UNIVEST SECURITIES, LLC|290215|VELOX CLEARING LLC|https://resources.velox-global.com/index.php/documents/|2024|Q2
36379|LENOX FINANCIAL SERVICES, INC.|6220|HILLTOP SECURITIES INC.|https://firm123.com/disclosure-link|2024|Q2
36509|ALIGHT FINANCIAL SOLUTIONS, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
36509|ALIGHT FINANCIAL SOLUTIONS, LLC|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/?C=M;O=D|2025|Q3
36644|PRIVATE PORTFOLIO, INC.|7560|PERSHING LLC|https://privateportfolio.com/disclosures|2024|Q2
36671|PERSHING ADVISOR SOLUTIONS LLC|7560|PERSHING LLC|https://investor.pershing.com/nxi/disclosure/brokeragedisclosure/businesscontinuity|2024|Q2
36866|PLANNER SECURITIES LLC|13071|APEX CLEARING CORPORATION|https://www.plannersecurities.com/disclosures|2025|Q3
37031|PACKERLAND BROKERAGE SERVICES, INC.|6220|HILLTOP SECURITIES INC.|https://www.packerlandbrokerage.com/media/587/packerland-order-routing-disclosure-v112022pdf.pdf|2024|Q2
37059|VICTORY CAPITAL SERVICES, INC.|7560|PERSHING LLC|https://vcm.com/content/dam/vcm/disclosures/general/Order_Routing_Practices.pdf|2024|Q2
37505|GLOBAL BROKERAGE SERVICES, INC.|6220|HILLTOP SECURITIES INC.|http://globalbrokers.net/Order Routing Disclosure|2024|Q2
37711|STOCK TRADERS|6220|HILLTOP SECURITIES INC.|https://firm123.com/disclosure-link|2024|Q2
37869|CEROS FINANCIAL SERVICES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.cerosfs.com/sec-rule-606-quarterly-report/nfs|2024|Q2
37869|CEROS FINANCIAL SERVICES, INC.|117176|AXOS CLEARING LLC|https://www.cerosfs.com/sec-rule-606-quarterly-report/axos|2024|Q2
38105|FMN CAPITAL CORPORATION|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.fmncc.com/trade-routing-reports|2024|Q2
38123|BRINKER CAPITAL SECURITIES, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://orion.com/legal-compliance|2024|Q2
38535|MOLONEY SECURITIES CO., INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
38690|CORPORATE INVESTMENTS GROUP, INC.|117176|AXOS CLEARING LLC|https://www.axosclearing.com/disclosures|2024|Q3
38770|D.M. KELLY & COMPANY|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.dmkc.com/disclosure|2024|Q2
38923|GVC CAPITAL LLC|6220|HILLTOP SECURITIES INC.|https://38923.com/disclosure-link|2024|Q3
39062|UNITED BROKERAGE SERVICES, INC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing.htm|2024|Q2
39164|1ST DISCOUNT BROKERAGE, INC.|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2025|Q3
39356|KBFG SECURITIES AMERICA INC.|13071|APEX CLEARING CORPORATION|https://www.kbfg-us.com/portfolio|2024|Q2
39462|CHURCHILL FINANCIAL, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.churchillfinancial.com/disclosure|2024|Q2
39550|CITIZENS SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.citizensbank.com/customer-service/forms-docs/wealth/order-routing-reports.aspx|2024|Q4
39616|STONECREST CAPITAL MARKETS, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
40077|ALEXANDER CAPITAL, L.P.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2025|Q3
40077|ALEXANDER CAPITAL, L.P.|126588|VELOCITY CLEARING, LLC|http://disclosure.bestxstats.com/qntx/606/|2025|Q3
40118|EFG CAPITAL INTERNATIONAL|7560|PERSHING LLC|https://www.pershing.com/content/dam/pershing/documents/pdfs/disclosures/per-order-routing-sec-rule-606.pdf|2024|Q2
40657|CAPITAL INVESTMENT BROKERAGE, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
40744|S.L. REED & COMPANY|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.slreed.com/disclosures/|2024|Q2
41067|DMK ADVISOR GROUP, INC.|6220|HILLTOP SECURITIES INC.|https://www.dmkadvisorgroup.com/Resources.html|2025|Q4
41067|DMK ADVISOR GROUP, INC.|6220|HILLTOP SECURITIES INC.|https://dmkadvisorgroup.app.box.com/s/hbtopgrmj6twhvz6iqjejw45ze0t9u58|2026|Q1
41139|ALTERNA SECURITIES, INC.|7560|PERSHING LLC|https://www.alternasecurities.com/company|2024|Q2
41257|DASH PRIME LLC|13071|APEX CLEARING CORPORATION|https://dashprime.com/sec-rule-606-dash-prime/|2024|Q2
41257|DASH PRIME LLC|104031|DASH FINANCIAL TECHNOLOGIES LLC|https://dashprime.com/sec-rule-606-dash-prime/|2024|Q2
41257|DASH PRIME LLC|116797|CITADEL SECURITIES LLC|https://dashprime.com/sec-rule-606-dash-prime/|2024|Q2
41257|DASH PRIME LLC|283942|BOFA SECURITIES, INC.|https://dashprime.com/sec-rule-606-dash-prime/|2024|Q2
41258|TRIDENT PARTNERS LTD.|31194|RBC CAPITAL MARKETS, LLC|https://www.tridentpartnersltd.com/regulatory/order_routing.htm|2024|Q3
41282|THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q3
41353|THOMPSON DAVIS & CO., INC.|31194|RBC CAPITAL MARKETS, LLC|https://static1.squarespace.com/static/639258b15b54e35d549eb737/t/63c076f9f284357dda6cc35a/1673557753284/Best+Execution+%28SEC+Rule+606%29+-+rev.12.2022.pdf|2024|Q2
41533|B.B. GRAHAM & COMPANY, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
41608||13041|NATIONAL FINANCIAL SERVICES LLC|https://clearingcustody.fidelity.com/trade-execution-quality/sec-rule-606|2024|Q2
41768|ACE DIVERSIFIED CAPITAL, INC.|877|WEDBUSH SECURITIES INC.|https://public.s3.com/rule606/wedb/|2025|Q2
42057|ARVEST WEALTH MANAGEMENT|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
42060|OBERWEIS SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://oberweis.net/resources/#trade-routing-reports|2025|Q3
42180|SUNBELT SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.sunbeltsecurities.com/order-routing|2024|Q3
42578|LIEBLONG & ASSOCIATES, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures/order-routing-606.htm|2024|Q2
42847|POLAR INVESTMENT COUNSEL, INC.|6220|HILLTOP SECURITIES INC.|https://www.polarinvest1.com|2024|Q3
42854|UHLMANN PRICE SECURITIES, LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.upsecurities.com/order-routing-disclosure|2025|Q4
42941|THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
43035|SOUTHEAST INVESTMENTS, N.C., INC.|117176|AXOS CLEARING LLC|https://www.southeastinvestmentsnc.com/|2024|Q3
43036|STATE FARM VP MANAGEMENT CORP.|7560|PERSHING LLC|https://www.statefarm.com/finances/mutual-funds/resources/disclosures|2024|Q2
43285|M HOLDINGS SECURITIES, INC.|7560|PERSHING LLC|https://www.mfin.com/disclosure|2025|Q3
43285|M HOLDINGS SECURITIES, INC.|7560|PERSHING LLC|https://mfinancial.webflow.io/m-securities|2025|Q4
43285|M HOLDINGS SECURITIES, INC.|7560|PERSHING LLC|https://www.mfin.com/m-securities|2025|Q4
43285|M HOLDINGS SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://mfinancial.webflow.io/m-securities|2025|Q4
43285|M HOLDINGS SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.mfin.com/m-securities|2025|Q4
43520|J.H. DARBIE & CO., INC.|117176|AXOS CLEARING LLC|https://darbie.com/sv/node/20|2025|Q3
43520|J.H. DARBIE & CO., INC.|142271|VISION FINANCIAL MARKETS LLC|https://darbie.com/sv/node/20|2025|Q3
44158|CAPITAL ONE SECURITIES, INC.|7560|PERSHING LLC|https://www.pershing.com/us/en/disclosures.html#panel1|2024|Q2
44181|NATIONS FINANCIAL GROUP, INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.nationsfg.com/disclosures/OrderRouting.pdf|2024|Q2
44807|MORGAN WILSHIRE SECURITIES, INC.|31194|RBC CAPITAL MARKETS, LLC|https://morganwilshire.com/client-information/sec-required-rule-606-report/|2024|Q2
44848|KOVACK SECURITIES INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
44848|KOVACK SECURITIES INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
44848|KOVACK SECURITIES INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://kovacksecurities.com/OrderRoutingInformation-Fidelity.html|2024|Q2
44848|KOVACK SECURITIES INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://kovackfinancial.com/order-routing-information-fidelity/|2025|Q4
44856|ARETE WEALTH MANAGEMENT, LLC|7560|PERSHING LLC|https://aretewealth.com/sec-rule-606/|2024|Q2
44856|ARETE WEALTH MANAGEMENT, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://aretewealth.com/sec-rule-606/|2024|Q2
44971|HERNDON PLANT OAKLEY, LTD.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
46047|HANTZ FINANCIAL SERVICES, INC.|6220|HILLTOP SECURITIES INC.|https://www.hantzgroup.com/disclosures/|2024|Q2
46214||7560|PERSHING LLC|https://atriawealthsolutions.app.box.com/v/NEXT-Order-Rout-Disc|2024|Q2
46350|TRADE-PMR INC.|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm|2024|Q2
46749|GEORGESON SECURITIES CORPORATION|283942|BOFA SECURITIES, INC.|https://www.georgesonsecurities.com/regulatory-disclosures|2024|Q2
47215|SECURITIES EQUITY GROUP|13041|NATIONAL FINANCIAL SERVICES LLC|https://selectportfolio.com/606disclosure.html|2024|Q2
47275||13041|NATIONAL FINANCIAL SERVICES LLC|https://clearingcustody.fidelity.com/app/item/RD_13569_21696/sec-rule-606.html|2024|Q2
47487|LANDAAS & COMPANY|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
47770|CHELSEA FINANCIAL SERVICES|6220|HILLTOP SECURITIES INC.|https://chfs.com/disclosure/|2024|Q2
47788|BETTERMENT SECURITIES|13071|APEX CLEARING CORPORATION|https://betterment.com/legal/other-disclosures|2024|Q2
47893|THOROUGHBRED FINANCIAL SERVICES, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.thoroughbredfinancial.com/Membership/Apps/v4Thoroughbred_WF_App.aspx?ReturnURL=%2f#!/w/v4thoroughbredwfapp?s=orderexcrtgholderapp&OrderExcRtg_Input_App.Id=824777&IX_OB=1&%5Bobject%20Object%5D|2024|Q4
103705|RBC SECURITIES, INC|13041|NATIONAL FINANCIAL SERVICES LLC|https://clearingcustody.fidelity.com/trade-execution-quality/sec-rule-606|2024|Q2
103723|MAPLEWOOD INVESTMENTS, INC.|7784|FIDELITY BROKERAGE SERVICES LLC|https://maplewoodinvestments.com/disclosures|2024|Q2
103723|MAPLEWOOD INVESTMENTS, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://maplewoodinvestments.com/disclosures|2025|Q4
103728|J.K. FINANCIAL SERVICES, INC.|6220|HILLTOP SECURITIES INC.|https://jkfinancial.net/rule_606_disclosure|2025|Q2
103781|TRADEPRO SECURITIES, LLC.|134284|RQD* CLEARING, LLC|https://rqdclearing.com/other-disclosures/|2025|Q2
103781|TRADEPRO SECURITIES, LLC.|290215|VELOX CLEARING LLC|https://resources.velox-global.com/index.php/documents/|2025|Q2
103789|USCA SECURITIES LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://uscwealth.com/legal-and-compliance|2025|Q3
103792|D. BORAL CAPITAL|31194|RBC CAPITAL MARKETS, LLC|https://dboralcapital.com/wp-content/uploads/2024/11/DBC-Rule-606-Quarterly-Report-on-Routing-of-Customer-Orders.pdf|2024|Q4
103792|D. BORAL CAPITAL|117176|AXOS CLEARING LLC|https://dboralcapital.com/wp-content/uploads/2024/11/DBC-Rule-606-Quarterly-Report-on-Routing-of-Customer-Orders.pdf|2024|Q4
103857|USA FINANCIAL SECURITIES LLC|7560|PERSHING LLC|https://www.usafinancial.com/investor-resources/forms-and-disclosures#USAF-Securities|2024|Q2
104026|BROAD STREET CAPITAL MARKETS, LLC|117176|AXOS CLEARING LLC|https://www.fisglobal.com/ptc|2025|Q3
104233|FLAGSTAR ADVISORS|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.flagstar.com/private-bank/client-solutions/wealth-management/sec-rule-606-quarterly-reports.html|2024|Q2
104343|COLORADO FINANCIAL SERVICE CORPORATION|6220|HILLTOP SECURITIES INC.|https://www.coloradofsc.com/disclosures/order-routing/|2024|Q2
104474|SANFORD C. BERNSTEIN & CO., LLC|7560|PERSHING LLC|https://www.bernstein.com/legal/reports-pursuant-to-sec-606.html|2024|Q2
104651|STATETRUST INVESTMENTS INC.|117176|AXOS CLEARING LLC|https://external.s3.com/rule606/axos/|2025|Q4
104982|TRADIER BROKERAGE, INC.|13071|APEX CLEARING CORPORATION|https://s3.us-east-1.amazonaws.com/documents.tradierbrokerage.com/tbi/order_routing_disclosure-10022025.pdf|2025|Q3
105387|VALLEY FINANCIAL MANAGEMENT, INC.|7560|PERSHING LLC|https://www.valley.com/personal/wealth-management/rule-606|2024|Q2
106032|IDB CAPITAL CORP.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
110942|SENTINEL SECURITIES, LLC.|7560|PERSHING LLC|https://www.sentinelgroup.com/disclosures/sec-rule-606-reports|2024|Q2
114212|BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC|13071|APEX CLEARING CORPORATION|https://www.apexclearing.com/disclosures|2024|Q2
114993|CRESCENT SECURITIES GROUP, INC.|6220|HILLTOP SECURITIES INC.|https://www.crescentsecurities.com/order-routing|2024|Q2
115624|LAFISE SECURITIES LLC|45993|STONEX FINANCIAL INC.|https://public.s3.com/rule606/intl/|2025|Q3
116681|HIGHTOWER SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q4
116681|HIGHTOWER SECURITIES, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://capitalmarkets.fidelity.com/trade-execution-quality/sec-rule-606#|2024|Q4
117284|AMERANT INVESTMENTS, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q3
119004|GRIFFIN FINANCIAL GROUP, LLC|877|WEDBUSH SECURITIES INC.|https://www.griffinfingroup.com/compliance/|2024|Q3
119249|AMERICAN CAPITAL PARTNERS, LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
120002|OBEX SECURITIES LLC|36418|INTERACTIVE BROKERS LLC|https://www.obexgroup.com/about|2025|Q1
120222|PRIVATE CLIENT SERVICES, LLC|5393|CHARLES SCHWAB & CO., INC.|https://www.pcsbd.net/disclosure|2024|Q4
120222|PRIVATE CLIENT SERVICES, LLC|7560|PERSHING LLC|https://www.pcsbd.net/disclosure|2024|Q4
120222|PRIVATE CLIENT SERVICES, LLC|7784|FIDELITY BROKERAGE SERVICES LLC|https://www.pcsbd.net/disclosure|2024|Q4
120222|PRIVATE CLIENT SERVICES, LLC|36671|PERSHING ADVISOR SOLUTIONS LLC|https://www.pcsbd.net/disclosure|2024|Q4
120242|LIGHT HORSE SECURITIES, INC|13071|APEX CLEARING CORPORATION|https://www.lighthorse.io/|2025|Q1
120343|INTEGRAL FINANCIAL LLC|6220|HILLTOP SECURITIES INC.|https://infi.biz/important-disclosures/|2024|Q2
121196|MCNALLY FINANCIAL SERVICES CORPORATION|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
124583|J.W. COLE FINANCIAL, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.jw-cole.com/disclosures|2024|Q3
125226|SHAREHOLDERS SERVICE GROUP, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
125393|FIRST BALLANTYNE, LLC|877|WEDBUSH SECURITIES INC.|https://firstballantyne.com/order-routing-information/|2024|Q3
126291|CAPFINANCIAL SECURITIES, LLC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
126867|PLACE TRADE FINANCIAL, INC.|36418|INTERACTIVE BROKERS LLC|https://placetrade.com/order-routing-practices|2025|Q1
127473|KCD FINANCIAL, INC.|6220|HILLTOP SECURITIES INC.|http://kcdfinancial.com/disclosures/#ORD|2024|Q2
127701|GRADIENT SECURITIES, LLC|31194|RBC CAPITAL MARKETS, LLC|https://external.s3.com/rule606/rbcwm/correspondentsvcs/|2024|Q1
128089|CARY STREET PARTNERS|19616|WELLS FARGO CLEARING SERVICES, LLC|https://carystreetpartners.com/disclosures/|2024|Q2
128605|TRADINGBLOCK|7897|INSTINET, LLC|https://tradingblock.com/pricing-policies|2024|Q2
128605|TRADINGBLOCK|20996|THINKEQUITY LLC|https://tradingblock.com/pricing-policies|2024|Q2
128605|TRADINGBLOCK|104031|DASH FINANCIAL TECHNOLOGIES LLC|https://tradingblock.com/pricing-policies|2024|Q2
128605|TRADINGBLOCK|120719|WOLVERINE EXECUTION SERVICES, LLC|https://tradingblock.com/pricing-policies|2024|Q2
128929|GWN SECURITIES INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://gwnsecurities.com/Home/Brokerage|2025|Q3
128929|GWN SECURITIES INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://gwnsecurities.com/OrderRouting.html|2025|Q4
129052|PNC WEALTH MANAGEMENT LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.pnc.com/disclosure-link|2024|Q2
130032|EMERSON EQUITY LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
131453|HENLEY & COMPANY LLC|7560|PERSHING LLC|https://www.henleyandcompany.com/sec-rule/|2024|Q2
131607|PACIFIC CENTURY SECURITIES, LLC|290215|VELOX CLEARING LLC|https://resources.velox-global.com/index.php/documents/|2024|Q2
132091|FNBB CAPITAL MARKETS, LLC|6220|HILLTOP SECURITIES INC.|https://www.bankers-bank.com/services/capital-markets-llc/|2024|Q2
132701|BANCO DO BRASIL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
133839|WILMINGTON CAPITAL SECURITIES, LLC|5393|CHARLES SCHWAB & CO., INC.|http://www.wilmingtoncap.com|2024|Q2
133839|WILMINGTON CAPITAL SECURITIES, LLC|31194|RBC CAPITAL MARKETS, LLC|http://www.wilmingtoncap.com|2024|Q2
133839|WILMINGTON CAPITAL SECURITIES, LLC|36418|INTERACTIVE BROKERS LLC|http://www.wilmingtoncap.com|2024|Q2
134657|PAR5 CAPITAL & CO LLC|7560|PERSHING LLC|www.orderroutingdisclosure.com|2026|Q1
135288|AMERICAN INDEPENDENT SECURITIES GROUP, LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.americanisg.com/disclaimers/|2024|Q2
135414|MCDONALD PARTNERS LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.mcdonald-partners.com/regulatory-disclosures|2024|Q2
136791|CREDICORP CAPITAL LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q2
136791|CREDICORP CAPITAL LLC|288202|ALPACA SECURITIES LLC|https://alpaca.markets/disclosures|2025|Q2
137945|FOUNDERS FINANCIAL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
137988|LEBENTHAL FINANCIAL SERVICES, INC.|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.lebenthalfs.com/regulatory-info|2025|Q3
138033|GAR WOOD SECURITIES, LLC|36418|INTERACTIVE BROKERS LLC|https://garwoodsecurities.net/disclosures/rule-606-report/|2024|Q2
138459|NAVY FEDERAL INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://www.navyfederal.org/investment-services/disclosures.html|2024|Q2
138459|NAVY FEDERAL INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://www.navyfederal.org/investment-services/disclosures.html|2026|Q1
138459|NAVY FEDERAL INVESTMENT SERVICES, LLC|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2026|Q1
138459|NAVY FEDERAL INVESTMENT SERVICES, LLC|165429|DRIVEWEALTH, LLC|https://www.navyfederal.org/investment-services/disclosures.html|2024|Q2
138459|NAVY FEDERAL INVESTMENT SERVICES, LLC|165429|DRIVEWEALTH, LLC|https://www.navyfederal.org/investment-services/disclosures.html|2026|Q1
139049|ACP SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q3
139107|FIRST ASSET FINANCIAL INC.|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
139665|BHK SECURITIES, LLC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing/order-routing-606.htm|2024|Q2
140278|INLET SECURITIES, LLC|117176|AXOS CLEARING LLC|https://www.axosclearing.com/disclosures|2024|Q3
140988|MD GLOBAL PARTNERS, LLC|31194|RBC CAPITAL MARKETS, LLC|Index of /rule606/rbcwm/wealthmgmtpcg|2025|Q3
141238|DEMPSEY LORD SMITH, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.dempseylordsmith.com/order-routing-disclosures|2025|Q2
142619|ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://ambwealth.com/legal-disclosure|2024|Q2
142783|MURRAY SECURITIES, INC.|6220|HILLTOP SECURITIES INC.|www.murraysecuritiesinc.com|2024|Q2
142910|PINNACLE INVESTMENTS, LLC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://pinnacleinvestments.com/wp-content/uploads/2024/07/Pinnacle-investments-clearing-firm-rule-606-disclosure.pdf|2024|Q2
143007|EMPIRE ASSET MANAGEMENT COMPANY|31194|RBC CAPITAL MARKETS, LLC|https://www.empiream.com/reporting|2024|Q2
143221|CICC US SECURITIES, INC.|122225|BTIG, LLC|https://www.btig.com/about-us/|2024|Q2
143221|CICC US SECURITIES, INC.|168490|CLEARPOOL EXECUTION SERVICES, LLC|https://clearpoolgroup.com/solutions/clearpool-executions-services/|2024|Q2
144131|SPIRE SECURITIES, LLC|7560|PERSHING LLC|https://www.spireip.com/important-disclosures|2024|Q2
144131|SPIRE SECURITIES, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.spireip.com/important-disclosures|2024|Q2
144403|PHX FINANCIAL, INC.|117176|AXOS CLEARING LLC|https://phoenixinc.com/account-disclosures/|2025|Q3
145589|XML SECURITIES|19616|WELLS FARGO CLEARING SERVICES, LLC|https://www.xmlfg.com/important-notices|2024|Q2
146193|MIURA CAPITAL, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
146251|SPARTAN CAPITAL SECURITIES, LLC|117176|AXOS CLEARING LLC|https://external.s3.com/rule606/axos/|2024|Q2
146667|STONEX INTERNATIONAL SECURITIES INC.|7560|PERSHING LLC|https://www.intercam.us/disclaimers/IntercamSecurities-CustomerAnnualNotification2024.pdf|2024|Q2
146936|BENJAMIN F. EDWARDS & COMPANY, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
147529|MCLAUGHLIN RYDER INVESTMENTS, INC.|7560|PERSHING LLC|https://www.mclaughlinryder.com/disclosures|2024|Q2
148137|SABADELL SECURITIES USA, INC.|7560|PERSHING LLC|https://www.pllcfiles.com/pershing.netxinvestor.documents/24.0516.1/documents/sabadell.netxinvestor.com/Sabadell_Securities_Annual_Disclosures.pdf|2024|Q3
148733|CAPITAL SYNERGY PARTNERS|31194|RBC CAPITAL MARKETS, LLC|https://www.rbcclearingandcustody.com/en-us/legal/sec-order-handling-disclosure/|2024|Q2
149758|COHEN & COMPANY SECURITIES, LLC|7560|PERSHING LLC|https://www.jvbfinancial.com/nms-rule-606/|2024|Q2
151085|HARBOR INVESTMENT ADVISORY, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q3
151604|CONCORDE INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://www.concordeis.com/wp-content/uploads/2022/12/SEC-Rule-606-Order-Routing-Disclosure.pdf|2025|Q3
151604|CONCORDE INVESTMENT SERVICES, LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.concordeis.com/wp-content/uploads/2022/12/SEC-Rule-606-Order-Routing-Disclosure.pdf|2025|Q3
153157|KAPITALL GENERATION, LLC|13071|APEX CLEARING CORPORATION|https://fatesfinancial.com/rule-606|2025|Q3
153906|QUANTRIVER FINANCIAL, LLC|36418|INTERACTIVE BROKERS LLC|http://www.quantriverfinancial.com/legal.php?p=3|2025|Q2
154717|TIGRESS FINANCIAL PARTNERS, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|2024|Q2
154926|MCDERMOTT INVESTMENT SERVICES, LLC|6220|HILLTOP SECURITIES INC.|https://mcdermottadvisors.com/disclaimer/relationship-hilltop-securities/|2024|Q2
155291|CENTRAL STATES CAPITAL MARKETS, LLC|6220|HILLTOP SECURITIES INC.|https://centralstatescapital.com/wp-content/uploads/4.-CSCM-PACKET-REG-BI-CRS.pdf|2024|Q3
155523|TC2000 BROKERAGE, INC.|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/en/general/about/brokerDealerReports.php|2025|Q3
155578|LINCOLN DOUGLAS INVESTMENTS, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://fmg-websites-custom.s3.amazonaws.com/352986-bullock/xml_files/Q32025MEGA_LDS.xml|2025|Q3
155979|ANDBANC BROKERAGE, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|2025|Q4
155979|ANDBANC BROKERAGE, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q4
155984|CGIS SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
156175|KAYAN SECURITIES, INC.|877|WEDBUSH SECURITIES INC.|https://www.mysecuritiesaccount.com/sclient/search.asp?oc=107&title=KAYAN%20SECURITIES%20INC|2024|Q2
158599|MORA CAPITAL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
159384|BRASIL PLURAL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q1
159384|BRASIL PLURAL SECURITIES LLC|36418|INTERACTIVE BROKERS LLC|https://investors.interactivebrokers.com/en/general/about/brokerDealerReports.php?cid=04cac247-85a1-498f-bb26-afef06b851a5|2025|Q1
159712|CABOT LODGE SECURITIES LLC|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.raymondjames.com/legal-disclosures/sec-order-execution-routing-disclosures/rja-order-routing-summary|2025|Q2
159712|CABOT LODGE SECURITIES LLC|31194|RBC CAPITAL MARKETS, LLC|https://external.s3.com/rule606/rbcwm/correspondentsvcs/?C=M;O=D|2025|Q2
159940|BENCHMARK SECURITIES LLC|6220|HILLTOP SECURITIES INC.|https://benchmarksecuritiesllc.com/wp-content/uploads/2024/07/606-Disclosures-2024.pdf|2024|Q2
166756|EPIC CAPITAL SECURITIES|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
167663|SOVEREIGN GLOBAL ADVISORS LLC|877|WEDBUSH SECURITIES INC.|https://www.sovereignglobaladvisors.com/public-information|2024|Q2
168047|BCI SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
171350|CRAFT CAPITAL MANAGEMENT LLC|31194|RBC CAPITAL MARKETS, LLC|craftcm.com|2025|Q4
171350|CRAFT CAPITAL MANAGEMENT LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.craftcm.com|2025|Q4
173643|UCAP AMERICAS|45993|STONEX FINANCIAL INC.|https://public.s3.com/rule606/intl/?C=M;O=D|2025|Q3
173847|OLDEN LANE SECURITIES, LLC|6220|HILLTOP SECURITIES INC.|https://oldenlane.com/|2024|Q2
173962|BANKERS LIFE SECURITIES, INC.|7560|PERSHING LLC|https://www.bankerslife.com/bankers-life-securities/|2024|Q3
269966|TORNADO|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex|2025|Q1
281065|OUTSET GLOBAL TRADING LIMITED|361|GOLDMAN SACHS & CO. LLC|https://outsetglobal.com/disclosure/|2025|Q1
282331|FORIS CAPITAL US LLC|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2024|Q2
282480|BULL MARKET SECURITIES, INC.|45993|STONEX FINANCIAL INC.|https://public.s3.com/rule606/intl/|2025|Q3
282480|BULL MARKET SECURITIES, INC.|45993|STONEX FINANCIAL INC.|https://www.bullmarketus.com/|2025|Q4
282480|BULL MARKET SECURITIES, INC.|126588|VELOCITY CLEARING, LLC|http://disclosure.bestxstats.com/qntx/606/|2025|Q3
282480|BULL MARKET SECURITIES, INC.|126588|VELOCITY CLEARING, LLC|https://www.bullmarketus.com/|2025|Q4
282480|BULL MARKET SECURITIES, INC.|134284|RQD* CLEARING, LLC|rqdclearing.com/other-disclosures/|2025|Q3
282480|BULL MARKET SECURITIES, INC.|134284|RQD* CLEARING, LLC|https://www.bullmarketus.com/|2025|Q4
282710|ARKADIOS CAPITAL|13041|NATIONAL FINANCIAL SERVICES LLC|https://arkadios.com/customer-information/|2024|Q2
282710|ARKADIOS CAPITAL|31194|RBC CAPITAL MARKETS, LLC|https://arkadios.com/customer-information/|2024|Q2
282756|FIRST SOUTHERN, LLC|7560|PERSHING LLC|https://fssec.com/|2024|Q2
283965|FOLIONET FINANCIAL LLC|13071|APEX CLEARING CORPORATION|https://folionet.com/wp-content/uploads/2024/04/16.SEC-Rule-606-Order-Execution-Routing-Disclosure-24.pdf|2024|Q2
283965|FOLIONET FINANCIAL LLC|45993|STONEX FINANCIAL INC.|https://folionet.com/wp-content/uploads/2024/04/16.SEC-Rule-606-Order-Execution-Routing-Disclosure-24.pdf|2024|Q2
285406|MADISON GLOBAL PARTNERS LLC|5393|CHARLES SCHWAB & CO., INC.|https://www.madisonglobalpartners.com/global-resources|2025|Q1
285406|MADISON GLOBAL PARTNERS LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.madisonglobalpartners.com/global-resources|2025|Q1
285406|MADISON GLOBAL PARTNERS LLC|36418|INTERACTIVE BROKERS LLC|https://www.madisonglobalpartners.com/global-resources|2025|Q1
286504|ALLARIA SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
287728|STASH CAPITAL LLC|13071|APEX CLEARING CORPORATION|https://cdn.stash.com/disclosures/Rule-606-Reporting-Disclosure.pdf|2024|Q2
287912|REDBRIDGE SECURITIES LLC|13071|APEX CLEARING CORPORATION|https://www.bbae.com/legal/order_routing_disclosure|2024|Q2
288898|KINGSWOOD CAPITAL PARTNERS, LLC|705|RAYMOND JAMES & ASSOCIATES, INC.|https://cdn.prod.website-files.com/668ec0a4c750ed4d5186a9f6/66d8cc616535c58d6ad66c01_668ec0a4c750ed4d5186aad6_Kingswood-US-Rule-606-Disclosure.pdf|2024|Q3
288898|KINGSWOOD CAPITAL PARTNERS, LLC|13071|APEX CLEARING CORPORATION|https://cdn.prod.website-files.com/668ec0a4c750ed4d5186a9f6/66d8cc616535c58d6ad66c01_668ec0a4c750ed4d5186aad6_Kingswood-US-Rule-606-Disclosure.pdf|2024|Q3
288898|KINGSWOOD CAPITAL PARTNERS, LLC|31194|RBC CAPITAL MARKETS, LLC|https://cdn.prod.website-files.com/668ec0a4c750ed4d5186a9f6/66d8cc616535c58d6ad66c01_668ec0a4c750ed4d5186aad6_Kingswood-US-Rule-606-Disclosure.pdf|2024|Q3
289604|INVESTIFI SECURITIES LLC|134284|RQD* CLEARING, LLC|https://rqdclearing.com/wp-content/uploads/2026/01/134284_606_NMS_2025_Q4.pdf|2025|Q4
289604|INVESTIFI SECURITIES LLC|134284|RQD* CLEARING, LLC|https://investifi.com/wp-content/uploads/2025/06/InvestiFi-Securities-PFOF-and-Order-Routing-Disclosure.pdf|2026|Q1
289604|INVESTIFI SECURITIES LLC|134284|RQD* CLEARING, LLC|https://investifi.com/legal-disclosures/|2026|Q1
290244|LINDEN THOMAS AND COMPANY SECURITIES, LLC|13071|APEX CLEARING CORPORATION|https://lindenthomas.com/trade-routing-disclosure/|2024|Q2
290244|LINDEN THOMAS AND COMPANY SECURITIES, LLC|19616|WELLS FARGO CLEARING SERVICES, LLC|https://lindenthomas.com/trade-routing-disclosure/|2024|Q2
290298|FORTRESS PRIVATE LEDGER, LLC|36418|INTERACTIVE BROKERS LLC|https://static.fmgsuite.com/media/documents/ceb600a4-9593-4d5a-aff2-1b38c507e1bd.pdf|2024|Q2
290605|SAN BLAS SECURITIES LLC|31194|RBC CAPITAL MARKETS, LLC|https://www.sanblassecurities.com/disclosures|2025|Q3
291456|VIRTUS CAPITAL MARKETS LLC|6220|HILLTOP SECURITIES INC.|https://www.hilltopsecurities.com/disclosures/order-routing-disclosure/|2024|Q2
292589|AVENUE SECURITIES LLC|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2024|Q2
292589|AVENUE SECURITIES LLC|126588|VELOCITY CLEARING, LLC|https://www.velocityclearingllc.com/disclosures#payment-for-order-flow/|2024|Q2
297029|PRIME NUMBER CAPITAL, LLC|169708|CURVATURE SECURITIES LLC|https://curvaturesecurities.com/|2025|Q4
297029|PRIME NUMBER CAPITAL, LLC|169708|CURVATURE SECURITIES LLC|https://pncps.com/policy_6.html|2025|Q4
297287|IFP SECURITIES, LLC|7560|PERSHING LLC|https://ifpartners.com/wp-content/uploads/2023/03/Rule-606.pdf|2025|Q1
298361|ETORO USA SECURITIES INC.|13071|APEX CLEARING CORPORATION|https://www.etoro.com/en-us/customer-service/disclosures/inapp/|2024|Q2
299039|IUR SECURITIES LLC|36418|INTERACTIVE BROKERS LLC|https://www.interactivebrokers.com/en/general/about/brokerDealerReports.php|2025|Q2
299423|EDDID SECURITIES USA INC.|126588|VELOCITY CLEARING, LLC|https://www.velocityclearingllc.com/disclosures#payment-for-order-flow/|2024|Q2
299423|EDDID SECURITIES USA INC.|290215|VELOX CLEARING LLC|https://resources.velox-global.com/index.php/documents/|2024|Q2
300262|ALPHALEDGER MARKETS, INC.|6220|HILLTOP SECURITIES INC.|https://www.alphaledger.com/legal/|2024|Q2
304587|PUENTE SERVICIOS FINANCIEROS LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
309955|UNEST SECURITIES, LLC|13071|APEX CLEARING CORPORATION|https://unest.co/sec-rule-606-disclosures/|2024|Q3
310576|STIRLINGSHIRE INVESTMENTS|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2025|Q1
310890|ONE GROWTH SECURITIES LLC|165429|DRIVEWEALTH, LLC|https://legal.drivewealth.com/sec-rule-606-material-aspects-of-relationships-drivewealth-llc|2025|Q4
311868|HAPI|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2025|Q1
312379|TITAN GLOBAL TECHNOLOGIES LLC|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex|2024|Q2
313329|OPTIONALITY SECURITIES|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2024|Q3
314549|NORTHBOUND SECURITIES LLC|165429|DRIVEWEALTH, LLC|https://external.s3.com/rule606/drvw/|2024|Q2
315086|BGV SECURITIES|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
315194|VF SECURITIES|165429|DRIVEWEALTH, LLC|https://vestedfinance.com/legal/|2025|Q3
315218|SEMINARIO SECURITIES|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
315263|ATOMIC BROKERAGE LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
316232|CIBEST CAPITAL SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|2024|Q2
316477|DASTA FINANCIAL, LLC|13071|APEX CLEARING CORPORATION|https://support.dubapp.com/hc/en-us/articles/19323712129563-DASTA-Financial-LLC-Order-Routing-Disclosure|2024|Q3
316641|FREC SECURITIES LLC|13071|APEX CLEARING CORPORATION|https://docs.frec.com/rule-606-607-disclosure.pdf|2024|Q2
317250|HEDGE PRO|13071|APEX CLEARING CORPORATION|https://www.hedge.io/disclosures/apex-sec-rule-606-and-607-disclosures|2025|Q4
317278|INTER&CO SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
317278|INTER&CO SECURITIES LLC|165429|DRIVEWEALTH, LLC|https://external.s3.com/rule606/ttuc/|2025|Q3
317903|AC SUNSHINE SECURITIES LLC|169708|CURVATURE SECURITIES LLC|https://curvaturesecurities.com/wp-content/uploads/2025/04/606PublicReportA1_1545658-1.pdf|2025|Q1
317903|AC SUNSHINE SECURITIES LLC|290215|VELOX CLEARING LLC|https://resources.velox-global.com/index.php/documents/|2025|Q1
318268|ALLIO MARKETS, LLC|134284|RQD* CLEARING, LLC|https://www.alliocapital.com/disclosures-library|2025|Q1
318437|QUANTFURY TRADING USA LLC|126588|VELOCITY CLEARING, LLC|https://www.velocityclearingllc.com/disclosures#payment-for-order-flow/|2024|Q2
321643|TRADESK SECURITIES, INC.|290215|VELOX CLEARING LLC|https://resources.velox-global.com/index.php/documents/|2025|Q3
321974|PWA SECURITIES, LLC|705|RAYMOND JAMES & ASSOCIATES, INC.|https://www.provwealth.com/|2024|Q2
324105|NOMAD INVESTMENT SERVICES|325118|COMPOSER SECURITIES LLC|https://nis.nomadglobal.com/en/documents|2025|Q3
324343|KRAKEN SECURITIES|288202|ALPACA SECURITIES LLC|https://assets-cms.kraken.com/files/51n36hrp/facade/654d9f9f40ede74bc6265676e6be807d1a8ee551.pdf|2025|Q4
324533|PAVE SECURITIES, LLC|36418|INTERACTIVE BROKERS LLC|https://www.pavesecurities.com/|2025|Q3
325118|COMPOSER SECURITIES LLC|13071|APEX CLEARING CORPORATION|https://public.s3.com/rule606/apex/|2024|Q2
325118|COMPOSER SECURITIES LLC|288202|ALPACA SECURITIES LLC|https://alpaca.markets/disclosures?ref=alpaca.markets|2024|Q2
328167|ARCHITECT SECURITIES LLC|134284|RQD* CLEARING, LLC|https://www.architect.co/legal/asl-disclosures/order-routing-and-pfof|2025|Q3
328167|ARCHITECT SECURITIES LLC|134284|RQD* CLEARING, LLC|https://architect.co/architect-securities-llc/order-routing-and-payment-for-order-flow-disclosure|2025|Q4
