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
231||7560|PERSHING LLC|https://bnymellonbrokerageaccount.netxinvestor.com/nxi/disclosure/tradingdisclosure/orderrouting|2024|Q1
231||7560|PERSHING LLC|https://www.pershing.com/content/dam/pershing/documents/pdfs/per-order-routing-sec-rule-606.pdf|2025|Q1
319|FOLGER NOLAN FLEMING DOUGLAS INCORPORATED|7560|PERSHING LLC|https://fnfd.com/financial-resources/disclosures-regulatory-notices/rule-606-a-disclosure-policy|2024|Q3
519|LINCOLN INVESTMENT|7560|PERSHING LLC|https://www.lincolninvestment.com/ProductsAndServices/IndividualSecurities|2025|Q2
611|MUTUAL OF OMAHA INVESTOR SERVICES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
728|ROTHSCHILD INVESTMENT LLC|7560|PERSHING LLC|https://rothschildwealth.com/wp-content/uploads/2024/10/Rothschild-Order-Routing-Disclosure.pdf|2024|Q3
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
1588|DAVENPORT & COMPANY LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
1717||7560|PERSHING LLC|finra.org|2025|Q1
1834|GIRARD INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://image.e.univest.net/lib/fe4215707564067f741576/m/3/95afda6b-30da-4692-b23e-53b4db93ede7.pdf|2024|Q1
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
2509||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2525|DEUTSCHE BANK SECURITIES INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2528|LAZARD FRERES & CO. LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2535|MHL INVESTMENTS|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2543|B. RILEY WEALTH MANAGEMENT|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2625|BERNARD L. MADOFF INVESTMENT SECURITIES LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2655||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2739|SCOTIA CAPITAL (USA) INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2762|TP ICAP GLOBAL MARKETS AMERICAS LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2764|MESIROW FINANCIAL, INC.|7560|PERSHING LLC|https://www.mesirow.com/NMS-Rule-606|2025|Q3
2764|MESIROW FINANCIAL, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2811|MONROE FINANCIAL PARTNERS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2856|MUTUAL FUNDS ASSOCIATES INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2881|NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC|7560|PERSHING LLC|https://northwesternmutual.com/order-routing-summary|2024|Q2
2881|NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2882|VOYA FINANCIAL ADVISORS, INC.|7560|PERSHING LLC|https://www.voya.com/financial-professionals/voya-financial-advisors/client-information|2024|Q2
2882|VOYA FINANCIAL ADVISORS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2903|MARTIN NELSON & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2907|NESTLERODE & LOY, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2908||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2910||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2936|THE O.N. EQUITY SALES COMPANY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2950|DORN & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
2998|BOSTON PARTNERS SECURITIES, L.L.C.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3001|AMERICAN TRUST INVESTMENT SERVICES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3002|NELSON IVEST BROKERAGE SERVICES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3013|COLONIAL SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3036|VP DISTRIBUTORS LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3049|PLANNED FINANCIAL PROGRAMS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3063|E. E. POWELL & COMPANY INC.|7560|PERSHING LLC|https://eepowell.com/e-e-powell-company-inc/sec-rule-606-order-routing/|2024|Q2
3063|E. E. POWELL & COMPANY INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3110|PYRAMID FUNDS CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3115|A.G. QUINTAL INVESTMENT COMPANY INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3215|ROMANO BROTHERS AND COMPANY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3254|SAGE, RUTTY & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3255||7560|PERSHING LLC|https://www.pershing.com/content/dam/pershing/documents/pdfs/per-order-routing-sec-rule-606.pdf|2024|Q2
3255||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3336|SECURITY DISTRIBUTORS|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3420|HERBERT J. SIMS & CO, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
3420|HERBERT J. SIMS & CO, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3441|SMITH, MOORE & CO.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3496|STEPHENS|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3526|J. STREICHER & CO. L.L.C.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3538|SUNSET FINANCIAL SERVICES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3586|THRASHER & CHAMBERS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3618|TRUBEE WEALTH ADVISORS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3641||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3685|WACHTEL & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3767|&PARTNERS|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3777|WILSON-DAVIS & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3798||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3870||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3875|BRIGHTON SECURITIES CORP.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3978||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
3998|JACK V. BUTTERFIELD INVESTMENT COMPANY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4029|ICON CAPITAL GROUP, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4031|HORNOR, TOWNSEND & KENT, LLC|7560|PERSHING LLC|https://www.htk.com/for-clients|2025|Q1
4031|HORNOR, TOWNSEND & KENT, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4038|BALANCED SECURITY PLANNING, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4138|AON SECURITIES LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4173|ONEAMERICA SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
4173|ONEAMERICA SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4297|NOMURA SECURITIES INTERNATIONAL, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4316|ZIV INVESTMENT COMPANY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
4452|PACIFIC SELECT DISTRIBUTORS, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5009|FEDERATED SECURITIES CORP.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5049|BROWN ASSOCIATES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5050|FEDERATED SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5069|SENTRY EQUITY SERVICES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5120|O'TOOLE INSURANCE & SECURITIES|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5167|NYLIFE SECURITIES LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5249|JOHN HANCOCK DISTRIBUTORS LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5251|U. S. BOSTON CAPITAL CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5300||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5309|FBL MARKETING SERVICES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5361|N.I.S. FINANCIAL SERVICES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5376|MURIEL SIEBERT & CO., LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5393|CHARLES SCHWAB & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5397||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5407|VBC SECURITIES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5475||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5611|INSIGHT SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5633||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5657|EMPIRE STATE FINANCIAL, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5670||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5685|PRUCO SECURITIES, LLC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5864|DARWOOD ASSOCIATES INCORPORATED|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5871|FIRST GEORGETOWN SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5896|BIRKELBACH & CO.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5953|VANDERBILT SECURITIES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
5967|PINEBRIDGE SECURITIES LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6004|HORANG SECURITIES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6158|AEI SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6183|C. L. KING & ASSOCIATES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6220|HILLTOP SECURITIES INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6237|MAYHILL AGENCY, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6247|CAPITAL CLIENT GROUP, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6271||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6312||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6363||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6376|STONEGATE CAPITAL MARKETS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6413|LPL FINANCIAL LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6506|KUYKENDALL & SCHNEIDER, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6516||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6564|SF INVESTMENTS, INC.|7560|PERSHING LLC|https://sfinv.com|2024|Q2
6564|SF INVESTMENTS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6627||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6694|RAYMOND JAMES FINANCIAL SERVICES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6759|KRAMBO CORPORTION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6769|KEEL POINT CAPITAL, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6783|BILL PARKER AGENCY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6845|TIMECAPITAL SECURITIES CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6888|JONESTRADING|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6905|FELTL & COMPANY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6906|CAVU SECURITIES LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6914|VAN CLEMENS & CO. INCORPORATED|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6939|INVESCO CAPITAL MARKETS, INC.|7560|PERSHING LLC|foo.com|2025|Q1
6939|INVESCO CAPITAL MARKETS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6939|INVESCO CAPITAL MARKETS, INC.|283942||finra.org|2025|Q1
6950|SOUTHSTATE SECURITIES CORP.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6959|HARRIS ASSOCIATES SECURITIES L.P.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6963|SAMUEL A. RAMIREZ & COMPANY, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
6964|ROOSEVELT & CROSS, INCORPORATED|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7001|CARTY, HARDING & HEARN, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7031||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7059|CITIGROUP GLOBAL MARKETS INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7071|GARRETT NAGLE & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7072|CAPE SECURITIES INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7089|THE FRAZER LANIER COMPANY, INCORPORATED|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7110|NATIONWIDE INVESTMENT SERVICES CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7117|HARTFIELD, TITUS & DONNELLY, LLC|7560|PERSHING LLC|www.finra.org|2025|Q1
7117|HARTFIELD, TITUS & DONNELLY, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7155|STERLING, GRACE MUNICIPAL SECURITIES CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7164||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7169||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7170|JOE JOLLY & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7174|FUNDS DISTRIBUTOR, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7191|LASALLE ST SECURITIES, L.L.C.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7270|NASDAQ EXECUTION SERVICES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7294|GREGORY J. SCHWARTZ & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7297|REGAL SECURITIES, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7306|L. B. FISHER & COMPANY|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7320|SHEARMAN, RALSTON INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7325||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7336|FIRST TRYON SECURITIES, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7353|G.RESEARCH, LLC|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7360|OLD SLIP CAPITAL MANAGEMENT, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7369|INVESCO DISTRIBUTORS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7388|AMERICAN GLOBAL WEALTH MANAGEMENT, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7395|CLARENDON INSURANCE AGENCY, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7413|ISAAK BOND INVESTMENTS, INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7424|MONNESS CRESPI HARDT & CO., INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7449|CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7452|VANGUARD MARKETING CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7456|HUNTLEIGH SECURITIES CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7461||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7477||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7518|PACTOLUS CAPITAL PARTNERS|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7524|FIRST KENTUCKY SECURITIES CORPORATION|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7551|CAPIS|153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
7560|PERSHING LLC|153585|SIMPLEX TRADING, LLC|SEC Rule 606 (formerly SEC 11Ac1-6) Administration - Disclaimer Screen|2024|Q4
7597||153585|SIMPLEX TRADING, LLC|http://finrademo.org/disclosure|2024|Q4
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
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
8052|CREWS & ASSOCIATES, INC.|7560|PERSHING LLC|https://www.crewsfs.com/content/uploads/2021/03/Pershing-Order-Routing-Disclosure.pdf|2025|Q1
8361|A.G.P. / ALLIANCE GLOBAL PARTNERS|5393|CHARLES SCHWAB & CO., INC.|https://www.dominarisecurities.com/disclosu|2025|Q3
8361|A.G.P. / ALLIANCE GLOBAL PARTNERS|13071|APEX CLEARING CORPORATION|https://www.dominarisecurities.com/disclosure|2025|Q3
10963|PAPAMARKOU WELLNER & CO., INC.|7560|PERSHING LLC|https://www.netxinvestor.com/nxi/disclosure/tradingdisclosure/orderrouting|2024|Q3
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
13109|EMPOWER FINANCIAL SERVICES, INC.|7560|PERSHING LLC|https://www.empower.com/sec-rule-605-rule-606|2024|Q2
14458|INVESTMENT PLACEMENT GROUP|7560|PERSHING LLC|https://investipg.com/order-routing-practices/|2024|Q2
14752|CAPITAL INVESTMENT GROUP, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|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
15041|FIRST BANKERS' BANC SECURITIES, INC|7560|PERSHING LLC|https://fbbsinc.com/order-routing/|2024|Q2
15708||7560|PERSHING LLC|https://concoursefinancial.com/investor-disclosures|2024|Q2
16629|ASHTON THOMAS SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q3
17007|FINANCIAL NORTHEASTERN SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2026|Q1
17437|AMERICAN CENTURY INVESTMENT SERVICES INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
17530||7560|PERSHING LLC|https://securities.bokfinancial.com/legal-and-privacy/legal-disclosures|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
18466||7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
19453|BRADESCO INVESTMENTS INC.|7560|PERSHING LLC|https://bradescobank.com/en/other-disclosures/|2025|Q3
19585|HSBC SECURITIES (USA) INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q2
19899|SECU BROKERAGE SERVICES|7560|PERSHING LLC|https://www.ncsecu.org/pdfs/accounts/investment-accounts/ClearingRelationshipDisclosure.pdf|2024|Q2
20626|WORLD INVESTMENTS, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2026|Q1
20804|UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q1
20804|UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
22098|MULTI-BANK SECURITIES, INC.|7560|PERSHING LLC|https://mbssecurities.com/|2025|Q3
23224|MADISON AVENUE SECURITIES, LLC|7560|PERSHING LLC|https://mas-bd.com/sec-order-routing/|2024|Q3
23769|REALTA EQUITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q2
24771|BEECH HILL SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
25853|RAYMOND JAMES (USA) LTD.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q1
25853|RAYMOND JAMES (USA) LTD.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q3
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
29249|INSIGNEO SECURITIES, LLC|361|GOLDMAN SACHS & CO. LLC|https://nms606.demo.org/testabr.html|2025|Q3
29249|INSIGNEO SECURITIES, LLC|7560|PERSHING LLC|https://nms606.karngroup.com/insigneo/606/14abb5c542|2025|Q3
29249|INSIGNEO SECURITIES, LLC|45993||https://public.s3.com/rule606/intl/|2025|Q3
29278|BELLE HAVEN INVESTMENTS, L.P.|7560|PERSHING LLC|https://www.bellehaven.com/disclosures|2024|Q2
29753||7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|2024|Q1
29753||7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|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
30648|BANORTE SECURITIES INTERNATIONAL, LTD.|7560|PERSHING LLC|https://www.banortesecurities.com/?lang=en|2024|Q1
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
30833|CENTAURUS FINANCIAL, INC.|7560|PERSHING LLC|https://www.centaurusfinancial.com/investor-information/|2024|Q2
30996||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
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
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
36509|ALIGHT FINANCIAL SOLUTIONS, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|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
37059|VICTORY CAPITAL SERVICES, INC.|7560|PERSHING LLC|https://vcm.com/content/dam/vcm/disclosures/general/Order_Routing_Practices.pdf|2024|Q2
39462|CHURCHILL FINANCIAL, LLC|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.churchillfinancial.com/disclosure|2024|Q1
39616|STONECREST CAPITAL MARKETS, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
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
41139|ALTERNA SECURITIES, INC.|7560|PERSHING LLC|https://www.alternasecurities.com/company|2024|Q2
41257||283942||https://dashprime.com/sec-rule-606-dash-prime/|2024|Q2
41353|THOMPSON DAVIS & CO., INC.|41353|THOMPSON DAVIS & CO., INC.|https://static1.squarespace.com/static/639258b15b54e35d549eb737/t/63c076f9f284357dda6cc35a/1673557753284/Best+Execution+%28SEC+Rule+606%29+-+rev.12.2022.pdf|2024|Q1
42057|ARVEST WEALTH MANAGEMENT|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
42180|SUNBELT SECURITIES, INC.|13041|NATIONAL FINANCIAL SERVICES LLC|https://www.sunbeltsecurities.com/order-routing|2024|Q3
43036|STATE FARM VP MANAGEMENT CORP.|7560|PERSHING LLC|https://www.statefarm.com/finances/mutual-funds/resources/disclosures|2024|Q1
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/m-securities|2025|Q4
44158|CAPITAL ONE SECURITIES, INC.|7560|PERSHING LLC|https://www.pershing.com/us/en/disclosures.html#panel1|2024|Q2
44848|KOVACK SECURITIES INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
44856|ARETE WEALTH MANAGEMENT, LLC|7560|PERSHING LLC|https://aretewealth.com/sec-rule-606/|2024|Q2
46214||7560|PERSHING LLC|https://atriawealthsolutions.app.box.com/v/NEXT-Order-Rout-Disc|2024|Q2
47487|LANDAAS & COMPANY|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
103857|USA FINANCIAL SECURITIES LLC|7560|PERSHING LLC|https://www.usafinancial.com/investor-resources/forms-and-disclosures#USAF-Securities|2024|Q2
104474|SANFORD C. BERNSTEIN & CO., LLC|7560|PERSHING LLC|https://www.bernstein.com/legal/reports-pursuant-to-sec-606.html|2024|Q2
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
114419|VSI SECURITIES, INC.|7560|PERSHING LLC|https://vsisecurities.com/en/compliance-links/|2026|Q1
116681|HIGHTOWER SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q4
117284|AMERANT INVESTMENTS, INC.|79|J.P. MORGAN SECURITIES LLC|test.com|2025|Q3
117284|AMERANT INVESTMENTS, INC.|5670||https://abc.com|2025|Q3
117284|AMERANT INVESTMENTS, INC.|7560|PERSHING LLC|http://foo.com|2025|Q3
117284|AMERANT INVESTMENTS, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q3
117284|AMERANT INVESTMENTS, INC.|40002|J. ALDEN ASSOCIATES, INC.|test.com|2025|Q3
117284|AMERANT INVESTMENTS, INC.|141238||test2.com|2025|Q3
120222|PRIVATE CLIENT SERVICES, LLC|7560|PERSHING LLC|https://www.pcsbd.net/disclosure|2024|Q4
121196|MCNALLY FINANCIAL SERVICES CORPORATION|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
125226|SHAREHOLDERS SERVICE GROUP, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
126291|CAPFINANCIAL SECURITIES, LLC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|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
132701|BANCO DO BRASIL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
133760||361|GOLDMAN SACHS & CO. LLC|https://static1.squarespace.com/static/639258b15b54e35d549eb737/t/63c076f9f284357dda6cc35a/1673557753284/Best+Execution+%28SEC+Rule+606%29+-+rev.12.2022.pdf|2025|Q4
133760||519|LINCOLN INVESTMENT|http://finrademo.org/disclosures/index|2025|Q4
133760||3767|&PARTNERS|http://finrademo.org/disclosures|2025|Q4
134657|PAR5 CAPITAL & CO LLC|7560|PERSHING LLC|www.orderroutingdisclosure.com|2026|Q1
136791|CREDICORP CAPITAL LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q2
137945|FOUNDERS FINANCIAL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|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
139049|ACP SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2025|Q3
144131|SPIRE SECURITIES, LLC|7560|PERSHING LLC|https://www.spireip.com/important-disclosures|2024|Q2
146193|MIURA CAPITAL, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|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
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
153585|SIMPLEX TRADING, LLC|566|KEYBANC CAPITAL MARKETS INC.|http://finrademo.org/disclosure/bar123|2025|Q4
153585|SIMPLEX TRADING, LLC|628|FIFTH THIRD SECURITIES, INC.|https://www.wellsfargoclearingservicesllc.com/disclosures/order-routing/order-routing-606.htm|2025|Q4
153585|SIMPLEX TRADING, LLC|3767|&PARTNERS|http://finrademo.org/disclosures.html|2025|Q4
153585|SIMPLEX TRADING, LLC|7336|FIRST TRYON SECURITIES, LLC|http://finrademo.org/disclosure|2026|Q2
153585|SIMPLEX TRADING, LLC|40002|J. ALDEN ASSOCIATES, INC.|www.finra.org/filing-reporting/rule-6151-reporting-compliance|2025|Q4
153585|SIMPLEX TRADING, LLC|139049|ACP SECURITIES, LLC|http://www.foo.com/disclosure|2025|Q4
154717|TIGRESS FINANCIAL PARTNERS, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/neworderrouting/|2024|Q2
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|2025|Q4
155984|CGIS SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
156171|MARIVA CAPITAL MARKETS, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2026|Q1
156175|KAYAN SECURITIES, INC.|877|WEDBUSH SECURITIES INC.|https://www.mysecuritiesaccount.com/sclient/search.asp?oc=107&title=KAYAN%20SECURITIES%20INC|2024|Q1
158599||7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
159384|BRASIL PLURAL SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q1
166756|EPIC CAPITAL SECURITIES|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2024|Q2
168047|BCI SECURITIES, INC.|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
173962|BANKERS LIFE SECURITIES, INC.|7560|PERSHING LLC|https://www.bankerslife.com/bankers-life-securities/|2024|Q3
282756|FIRST SOUTHERN, LLC|7560|PERSHING LLC|https://fssec.com/|2024|Q2
286504|ALLARIA SECURITIES, LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com|2024|Q2
290244|LINDEN THOMAS AND COMPANY SECURITIES, LLC|79|J.P. MORGAN SECURITIES LLC|www.finra.org|2025|Q3
297287|IFP SECURITIES, LLC|7560|PERSHING LLC|https://ifpartners.com/wp-content/uploads/2023/03/Rule-606.pdf|2025|Q1
300005||79|J.P. MORGAN SECURITIES LLC|testorg.com/reports|2025|Q4
300005||361|GOLDMAN SACHS & CO. LLC|confirm.org|2025|Q4
300005||3767|&PARTNERS|www.testracecndition.com|2025|Q4
300005||5393|CHARLES SCHWAB & CO., INC.|http://finrademo.org/disclosure1205|2025|Q4
304587|PUENTE SERVICIOS FINANCIEROS LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
315086|BGV SECURITIES|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q4
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
317278|INTER&CO SECURITIES LLC|7560|PERSHING LLC|https://www.orderroutingdisclosure.com/|2025|Q3
3000005|FINRA DEMO FIRM|888888||www.testfirm1.org|2025|Q3
3000005|FINRA DEMO FIRM|999900||www.testfirm1.org|2025|Q3
7001676||79|J.P. MORGAN SECURITIES LLC|http://finrademo.org/disclosures|2025|Q4
7001676||361|GOLDMAN SACHS & CO. LLC|https://static1.squarespace.com/static/639258b15b54e35d549eb737/t/63c076f9f284357dda6cc35a/1673557753284/Best+Execution+%28SEC+Rule+606%29+-+rev.12.2022.pdf|2025|Q4
