SEC Rule 606 Report
- Ally Invest Securities LLC - 2nd Qtr, 2016
(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 |
8.63 |
38.89 |
52.48 |
| VIRTU Americas LLC |
55.79 |
47.72 |
54.88 |
57.78 |
| Citadel Securities |
36.08 |
40.27 |
38.27 |
33.77 |
| Credit Suisse |
4.24 |
3.75 |
4.74 |
3.94 |
| WOLVERINE SECURITIES, LLC |
1.94 |
4.93 |
1.58 |
1.71 |
| Apex Clearing Corporation |
0.95 |
0.00 |
0.00 |
1.82 |
| CODA Markets, Inc. |
0.46 |
1.39 |
0.17 |
0.52 |
| Alternet Securities Inc |
0.44 |
1.94 |
0.30 |
0.30 |
| Nasdaq Execution Services |
0.05 |
0.00 |
0.04 |
0.08 |
| Archipelago LLC |
0.03 |
0.00 |
0.01 |
0.06 |
| Citi Order Routing & Exec LLC |
0.01 |
0.00 |
0.00 |
0.02 |
99.89% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
7.86 |
40.83 |
51.31 |
| VIRTU Americas LLC |
55.27 |
47.82 |
58.59 |
53.78 |
| Citadel Securities |
35.64 |
38.88 |
34.79 |
35.82 |
| Credit Suisse |
3.83 |
3.85 |
4.00 |
3.69 |
| WOLVERINE SECURITIES, LLC |
2.69 |
5.69 |
2.18 |
2.64 |
| Apex Clearing Corporation |
1.50 |
0.00 |
0.00 |
2.93 |
| CODA Markets, Inc. |
0.60 |
1.99 |
0.20 |
0.71 |
| Alternet Securities Inc |
0.33 |
1.77 |
0.21 |
0.20 |
| Nasdaq Execution Services |
0.07 |
0.00 |
0.03 |
0.11 |
| Archipelago LLC |
0.04 |
0.00 |
0.01 |
0.08 |
| Citi Order Routing & Exec LLC |
0.02 |
0.00 |
0.00 |
0.04 |
99.93% of total customer orders were non-directed orders.
Securities Listed on NYSE MKT or other National Securities Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
10.79 |
39.70 |
49.52 |
| VIRTU Americas LLC |
68.53 |
59.63 |
69.41 |
69.75 |
| Citadel Securities |
21.54 |
29.85 |
22.82 |
18.71 |
| Credit Suisse |
4.54 |
2.72 |
5.27 |
4.36 |
| WOLVERINE SECURITIES, LLC |
2.03 |
4.02 |
1.92 |
1.68 |
| Apex Clearing Corporation |
1.89 |
0.00 |
0.01 |
3.82 |
| CODA Markets, Inc. |
0.96 |
2.35 |
0.31 |
1.18 |
| Alternet Securities Inc |
0.38 |
1.43 |
0.23 |
0.27 |
| Archipelago LLC |
0.07 |
0.00 |
0.00 |
0.14 |
| Nasdaq Execution Services |
0.05 |
0.00 |
0.02 |
0.09 |
| Citi Order Routing & Exec LLC |
0.01 |
0.00 |
0.01 |
0.02 |
99.98% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
6.80 |
92.64 |
0.56 |
| Wolverine Execution Serv |
49.30 |
53.34 |
48.95 |
58.35 |
| Citadel Securities |
34.12 |
25.53 |
34.83 |
20.84 |
| WOLVERINE SECURITIES, LLC |
11.90 |
15.58 |
11.61 |
15.13 |
| Susquehanna Financial Grp |
4.66 |
5.54 |
4.59 |
5.68 |
| Citi Order Routing & Exec LLC |
0.02 |
0.00 |
0.03 |
0.00 |
100.00% 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.