SEC Rule 606 Report
- LPL Financial - 3rd Qtr, 2015
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
38.53 |
5.98 |
55.50 |
Citadel Securities |
23.63 |
24.78 |
16.72 |
23.57 |
G1 Execution Services |
20.71 |
19.65 |
13.48 |
22.23 |
KCG Americas LLC |
19.76 |
20.21 |
20.65 |
19.35 |
UBS Securities LLC |
15.25 |
17.42 |
10.79 |
14.22 |
Auto Trading Desk Fin Svc |
12.67 |
13.41 |
9.74 |
12.48 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
36.57 |
5.77 |
57.66 |
G1 Execution Services |
21.93 |
24.05 |
25.09 |
20.28 |
KCG Americas LLC |
20.33 |
23.01 |
18.90 |
18.77 |
Citadel Securities |
18.77 |
14.80 |
13.99 |
21.76 |
Auto Trading Desk Fin Svc |
14.82 |
14.29 |
11.32 |
15.51 |
Cantor Fitzgerald&Co |
12.01 |
13.32 |
9.81 |
11.40 |
UBS Securities LLC |
5.47 |
5.64 |
3.83 |
5.53 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
43.02 |
4.66 |
52.32 |
Cantor Fitzgerald&Co |
28.26 |
31.56 |
24.04 |
25.92 |
KCG Americas LLC |
27.65 |
31.00 |
19.04 |
25.67 |
Citadel Securities |
18.78 |
16.89 |
18.17 |
20.39 |
Auto Trading Desk Fin Svc |
12.95 |
12.88 |
12.83 |
13.02 |
G1 Execution Services |
6.65 |
6.20 |
2.35 |
7.40 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
34.26 |
62.71 |
3.02 |
Citadel Execution Service |
49.71 |
46.39 |
52.81 |
23.05 |
Knight Options |
17.73 |
22.73 |
13.76 |
43.24 |
Interactive Brokers LLC |
12.52 |
16.52 |
9.67 |
26.56 |
Citigroup Global Markets |
12.25 |
13.73 |
11.71 |
6.55 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
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