SEC Rule 606 Report - Convergex Execution Solutions - 1st Qtr, 2017

(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)


Securities Listed on New York Stock Exchange Euronext
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 0.00 0.00 100.00
Nasdaq Execution Services 16.56 0.00 0.00 16.56
DirectEdge ECN (EDGX) 14.43 0.00 0.00 14.43
VIRTU Americas LLC 12.27 0.00 0.00 12.27
BATS Stock Exchange 11.74 0.00 0.00 11.74
Two Sigma Securities, LLC 8.57 0.00 0.00 8.57
New York Stock Exch 7.62 0.00 0.00 7.62
NYSE Arca 6.28 0.00 0.00 6.28
UBS Securities LLC 5.71 0.00 0.00 5.71
Arxis Securities LLC 5.51 0.00 0.00 5.51
G-Trade Services LLC 2.59 0.00 0.00 2.59
Citadel Securities 2.55 0.00 0.00 2.55
71.87% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 0.00 0.00 100.00
VIRTU Americas LLC 19.00 0.00 0.00 19.00
Nasdaq Execution Services 13.15 0.00 0.00 13.15
Two Sigma Securities, LLC 11.79 0.00 0.00 11.79
Merrill Lynch, Pierce 7.96 0.00 0.00 7.96
DirectEdge ECN (EDGX) 7.18 0.00 0.00 7.18
Citadel Securities 6.46 0.00 0.00 6.46
UBS Securities LLC 6.11 0.00 0.00 6.11
Arxis Securities LLC 5.92 0.00 0.00 5.92
BATS Stock Exchange 5.43 0.00 100.00 5.43
CROS 2.97 0.00 0.00 2.97
G-Trade Services LLC 2.68 0.00 0.00 2.68
NYSE Arca 2.56 0.00 0.00 2.56
84.37% of total customer orders were non-directed orders.

Securities Listed on NYSE MKT or other National Securities Exchange
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 0.00 0.00 100.00
VIRTU Americas LLC 18.50 0.00 0.00 18.50
Two Sigma Securities, LLC 14.09 0.00 0.00 14.09
Citadel Securities 11.33 0.00 0.00 11.33
NYSE Arca 10.11 0.00 0.00 10.11
Nasdaq Execution Services 9.01 0.00 0.00 9.01
BATS Stock Exchange 8.60 0.00 0.00 8.60
DirectEdge ECN (EDGX) 5.80 0.00 0.00 5.81
New York Stock Exch 5.35 0.00 0.00 5.35
UBS Securities LLC 5.34 0.00 0.00 5.34
Arxis Securities LLC 5.20 0.00 0.00 5.20
89.60% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 3.94 96.06 0.00
Chicago Board OptionsExch 19.07 6.26 19.59 0.00
BATS Stock Exchange 16.19 26.09 15.79 0.00
Philadelphia Exch 12.03 15.98 11.87 0.00
E 9.56 20.63 9.11 0.00
M 8.50 4.57 8.66 0.00
Nasdaq Exchange 7.66 8.68 7.62 0.00
NYSE Arca 7.30 6.15 7.35 0.00
H 5.59 3.34 5.68 0.00
Internat'l Secs Exch 4.67 2.46 4.76 0.00
88.18% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
How to read this report

© Copyright 2017 CoreOne Technologies.
All Rights Reserved.